E-Communications Compliance Surveillance Analyst

Job Title: E-Communications Compliance Surveillance Analyst

Department: Legal & Compliance

Role Overview: The Legal & Compliance Department ensures ethical practices, upholds the company's reputation, and fosters a compliance-oriented culture. As an Analyst, you will work within the electronic surveillance team, based in New York, assisting in the development and execution of electronic surveillance procedures, reviewing alerts, and managing various projects.

Key Responsibilities:

• Analyze alerts related to electronic communications in a timely manner to detect and prevent market or organizational misconduct.
• Identify potential risks and escalate them to relevant stakeholders, promptly bringing attention to process deviations for senior management review.
• Contribute to the design and development of both traditional and machine learning models aimed at improving communication surveillance, focusing on conduct risk, compliance issues, and market manipulation.
• Conduct ad-hoc reviews of inbound, outbound, and internal communications as required.
• Identify, document, and resolve potential regulatory or compliance issues.

Qualifications:

• Bachelor's degree in Legal, Finance, or a related discipline.
• 1-2 years of experience in legal/compliance or similar roles, with a solid understanding of financial markets, products, services, and processes.
• Experience in broker-dealer, investment advisor, or banking compliance, supervision, or regulatory roles is a plus.
• Strong ability to handle ambiguity and respond creatively in challenging situations.
• Proven ability to manage multiple assignments and projects, working well under pressure and meeting deadlines.
• Strong written and verbal communication skills.
• High level of initiative, analytical ability, and strong integrity.
• Sound judgment and a balanced perspective.
• Excellent interpersonal skills, with confidence and poise.
• Self-motivated, team-oriented, and capable of working independently.
• A passion for excellence and a high level of energy and intelligence.