What are the responsibilities and job description for the Communications Surveillance Analyst position at Career Group Search?
E-Surveillance Analyst – New York, NY (hybrid)
Global investment bank is seeking a detail-oriented and analytical E-Surveillance Analyst to join its compliance team. The successful candidate will be responsible for surveilling electronic communications to ensure compliance with regulatory requirements and internal policies. This role is critical in identifying potential risks, detecting suspicious activities, and safeguarding the integrity of the firm’s operations.
Key Responsibilities
- Monitor and review electronic communications (e.g., email, chat, text messages) for compliance with regulatory and internal standards.
- Identify and escalate potential violations, suspicious activities, or patterns indicative of fraud, misconduct, or regulatory breaches.
- Conduct investigations of flagged activities and document findings in a clear and concise manner.
- Assist in the development and refinement of surveillance policies, procedures, and best practices.
- Conduct and manage E-Discovery requests.
- Conduct reporting and metrics for management, summarizing surveillance findings and trends.
- Stay updated on regulatory developments, industry trends, and emerging risks to enhance surveillance efforts.
- Support training initiatives by educating staff on surveillance-related topics and compliance requirements.
Qualifications
- 2 years of experience in e-surveillance within a broker-dealer, financial institution, or regulatory body.
- Strong understanding of regulatory requirements, including SEC, FINRA, and other applicable rules.
- Proficiency in using e-surveillance tools such as Global Relay, Actimize, Smarsh, or similar platforms.
- Excellent analytical skills with the ability to identify patterns and anomalies.
- Strong written and verbal communication skills, with an ability to present findings effectively.
- Detail-oriented with a high level of accuracy in work.
- Ability to work both independently and collaboratively in a fast-paced environment.
Compensation: $70-90K base plus discretionary bonus and competitive benefits package.
Salary : $70,000 - $90,000
