Electronic communication surveillance- Analyst
2 days ago
Role & responsibilities
- Monitor and review employee electronic communications (email, Teams, WhatsApp, SMS, Bloomberg, etc.) for potential policy breaches, regulatory violations or misconduct.
- Identify and escalate red flags related to insider trading, market manipulation, information leakage, fraud or inappropriate business conduct.
- Classify, document and track findings in the firms surveillance systems as per established procedures.
- Assist in internal investigations and prepare summaries or case-reports for senior compliance officers.
- Help optimize surveillance tools, lexicons and processes to improve detection accuracy and reduce false positives.
- Participate in user acceptance testing (UAT) and enhancement initiatives for compliance technology platforms.
- Stay updated on relevant regulations (e.g., SEC, FINRA, FCA, MAS, HKMA) and ensure the surveillance programme meets global regulatory expectations.
- Support internal/external audits, regulatory exams and ad hoc data-requests related to electronic communications.
- financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators )
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