Surveillance Lead

About the role

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.

What you'll do

• Surveillance & Review Monitor and review employee electronic communications (e.g., email, Bloomberg, Teams, WhatsApp, SMS
• 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

What you need

• 2–5 yrs of experience
• Bloomberg
• Compliance
• Audit
• Risk management
• B.Com or BBA