Compliance Analyst - Surveillance
Compliance Analyst - Surveillance
Posted on :
02-05-2025
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1 Vacancy
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Job Description
Department: Compliance
Position Overview:
- Support the Compliance department in the delivery of the wider compliance program
- Assist with trade surveillance monitoring to detect market abuse or improper trading behavior
- Conducting daily analysis of automated surveillance alerts through systems such as SMARTS
- Carry out audio and electronic communications surveillance
- Assist with ediscovery requests
- Conduct periodic forensic testing and reviews in accordance with the Compliance Monitoring Plan
Required Qualifications:
- Bachelors degree in finance business or a related field; or professional certification (e.g. CAMS) preferred
- 13 years of compliance audit risk or regulatory experience
- Knowledge of various financial products and markets
- Excellent administrative skills and the ability to prioritize tasks to meet deadlines
- Ability to maintain a high level of confidentiality while handing protected and sensitive material
- Strong written and verbal communication skills
Required Experience:
IC
Employment Type
Full Time
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