Information Barrier Surveillance Lead Analyst
Core
Lead analyst responsible for monitoring information barrier breaches, restricted list activity, and misuse of Material Nonpublic Information (MNPI) to ensure regulatory compliance and protect organizational interests.
Role type
Senior IC compliance surveillance analyst
Builds
Surveillance reports, risk assessments, and regulatory compliance documentation
Domain
Financial services / Compliance / Trade Surveillance
Deliverable
dashboards & analysis
Required skills
Trade surveillance analysis, regulatory compliance knowledge, risk management, data analysis, stakeholder communication, process improvement, team coaching, case management
Preferred skills
Knowledge of market manipulation patterns, familiarity with surveillance tools, ability to handle complex escalations, audit support experience
Technologies
Case management tools, surveillance modules
Responsibilities
Conduct daily and periodic surveillance reviews for information barrier breaches and MNPI misuse; Analyze alerts to determine violations of laws, rules, and firm policies; Identify gaps in surveillance patterns and recommend enhancements; Coach new joiners on compliance training and complex exceptions; Execute complex escalations and consult on calibration of surveillance reviews; Support audit activities with documentation and subject matter expertise.