Electronic Communications Compliance Analyst

Job highlights

• advanced degree or compliance certification (e.g.,CAMS,CRCM,ICA) a plus. .
• . Education: Degree in Finance,Business,Law,or a related field required
• Qualifications Experience
• Experience: 2 5 years of experience in compliance,surveillance,or monitoring within a broker-dealer,investment bank,or asset management firm. . .

Position Overview

The Electronic Communications Compliance Analyst is responsible for conducting surveillance and reviews of employee electronic communications to detect potential violations of Firm policy, regulatory requirements, and market conduct rules. This role plays a critical part in the Firm s global compliance and risk management framework by helping to ensure that business communications are compliant, professional, and consistent with applicable laws and internal standards.

Key Responsibilities

• Surveillance Review
  • Monitor and review employee electronic communications (e.g., email, Bloomberg, Teams, WhatsApp, SMS, and other approved channels) for potential policy breaches, regulatory violations, or misconduct.
  • Identify and escalate potential red flags related to insider trading, market manipulation, information leakage, fraud, or inappropriate business conduct.
  • Classify, document, and track findings in the Firm s surveillance systems in accordance with established procedures.
• Investigation Escalation
  • Conduct detailed follow-up reviews on flagged communications and collaborate with Legal, HR, and/or business management where necessary.
  • Assist in internal investigations and provide detailed summaries or case reports to senior compliance officers and other stakeholders, as needed.
• System Oversight Enhancement
  • Help optimize electronic communication surveillance tools and lexicons to improve detection accuracy and reduce false positives.
  • Participate in user acceptance testing (UAT) and enhancement initiatives for surveillance systems and compliance technology platforms.
• Regulatory Policy Support
  • Stay current on relevant regulations (e.g., SEC, FINRA, FCA, MAS, HKMA) and ensure the surveillance program aligns with global regulatory expectations.
  • Support internal and external audits, regulatory exams, and ad hoc data requests related to electronic communications.
• Training Awareness
  • Assist in developing or delivering training materials to employees regarding electronic communication standards and compliance best practices.
  • Help promote a strong culture of ethical conduct and adherence to Firm communication policies**.**

Qualifications Experience

• Education: Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
• Experience: 2 5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
• Knowledge:
  • Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
  • Familiarity with market abuse, insider trading, and conduct risk frameworks.
  • Hands-on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
• Skills:
  • Excellent analytical and communication skills.
  • Strong attention to detail and sound judgment in assessing potential compliance risks.
  • Ability to manage multiple priorities and meet tight deadlines in a fast-paced environment.

Disclaimer : This job posting has been aggregated from external source. Role details, content, and availability are subject to change. Applicants are advised to confirm the latest information directly on the company website before applying.