Compliance Officer, Communications Trade Surveillance
Core
Monitor communications (email, chat) for Corporate and Investment Banking to detect misuse of material nonpublic information and ensure adherence to information barriers and regulatory guidelines.
Role type
Associate-level compliance officer (trade surveillance)
Builds
Surveillance reports and alerts for regulators and management
Domain
Financial services / Securities trading compliance
Deliverable
dashboards & analysis
Required skills
Regulatory knowledge, risk identification, data analysis, policy adherence, stakeholder communication
Preferred skills
Discretion, process improvement, regulatory trend analysis, cross-functional collaboration
Technologies
Communications surveillance tools, email/chat monitoring systems
Responsibilities
Perform surveillance reviews for Corporate and Investment Banking communications; Identify potential misuse of material nonpublic information; Assess communications for adherence to information-barrier and wall-crossing requirements; Prepare summaries and reports for management and regulators; Maintain a culture of risk management and control.
Seniority
Associate, hands-on IC