Compliance Surveillance Analyst
Core
Conduct daily electronic and voice communications surveillance, investigate alerts for potential misconduct, and develop/enhance surveillance tools and controls.
Role type
Compliance Surveillance Analyst (hands-on IC)
Builds
Surveillance alerts, scenarios, data controls, and monitoring enhancements
Domain
Financial services / Quantitative trading / Compliance
Required skills
Communications surveillance, eComms alert review, voice surveillance alert review, investigation of misconduct, Python (practical), data analysis, SQL, data quality controls, custom reporting, market abuse knowledge
Preferred skills
HFT/high-frequency trading experience, hedge fund/investment manager experience, Global Relay experience, AI-assisted coding, trade surveillance knowledge
Technologies
Python, SQL, Global Relay, Bloomberg
Responsibilities
Review eComms alerts across email and messaging channels; Review voice surveillance alerts; Conduct detailed investigations and document findings; Develop and tune surveillance alerts and controls; Integrate new data feeds into surveillance platforms; Produce management reporting and trend analysis
Seniority
Mid-level, hands-on IC