Compliance Surveillance Analyst - Remote

Overview

The Compliance Surveillance Analyst serves as a key member of the Independent Compliance Risk Management (ICRM) Surveillance team, focusing on the design, implementation, and oversight of surveillance strategies to detect potential regulatory violations and internal policy breaches.

In Short

• Analyze surveillance alerts and reports related to trading activities.
• Document and escalate exceptions appropriately.
• Gather and analyze trade data for regulatory inquiries.
• Communicate surveillance findings to management clearly.
• Support compliance evaluations and interact with legal personnel.
• Handle telephone hotlines and perform data entry.
• Assess risk in business decisions to safeguard the firm’s reputation.
• Work collaboratively with various departments.
• Manage multiple projects simultaneously.
• Maintain compliance with applicable laws and regulations.

Requirements

• Previous relevant experience preferred.
• Knowledge of compliance laws and regulations.
• Excellent written and verbal communication skills.
• Self-starter with flexibility and adaptability.
• Strong interpersonal skills for collaboration.
• Proficient in MS Office applications.
• Ability to manage multiple projects at once.
• Bachelor’s degree required; advanced degree preferred.

Benefits

• Equal opportunity employer.
• Consideration for candidates regardless of background.
• Accessibility accommodations available for applicants.