Electronic Communications Compliance Analyst

Position Overview

Electronic Communications Compliance Analyst

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.