E- Surveillance Analyst / Associate , Legal & Compliance - New York

We are passionate about our business and our culture, and are seeking individuals with that same drive.

Position Overview

We are seeking a detail-oriented and analytical E-Surveillance Analyst to join our compliance team. The successful candidate will be responsible for surveilling electronic communications to ensure compliance with regulatory requirements and internal policies. This role is critical in identifying potential risks, detecting suspicious activities, and safeguarding the integrity of the firm’s operations.

Key Responsibilities

• Monitor and review electronic communications (e.g., email, chat, text messages) for compliance with regulatory and internal standards.

• Identify and escalate potential violations, suspicious activities, or patterns indicative of fraud, misconduct, or regulatory breaches.

• Conduct investigations of flagged activities and document findings in a clear and concise manner.

• Assist in the development and refinement of surveillance policies, procedures, and best practices.

• Conduct and manage E-Discovery requests.

• Conduct reporting and metrics for management, summarizing surveillance findings and trends.

• Stay updated on regulatory developments, industry trends, and emerging risks to enhance surveillance efforts.

• Support training initiatives by educating staff on surveillance-related topics and compliance requirements.

Qualifications

• 2-4 years of experience in compliance, surveillance, or a related role within a broker-dealer, financial institution, or regulatory body.

• Strong understanding of regulatory requirements, including SEC, FINRA, and other applicable rules.

• Proficiency in using e-surveillance tools such as Global Relay, Actimize, Smarsh, or similar platforms.

• Excellent analytical skills with the ability to identify patterns and anomalies.

• Strong written and verbal communication skills, with an ability to present findings effectively.

• Detail-oriented with a high level of accuracy in work.

• Ability to work both independently and collaboratively in a fast-paced environment.

Expected Salary Range: USD $75,000 - $90,000

We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancyand gender identity), parental status, national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to all terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training.

We are an Equal Opportunity Employer. Applicants are considered for employment opportunities without regard to race, age, religion, color, sex (including pregnancy and gender identity), parental status, national origin, marital status, veteran status, sexual orientation, political affiliation, citizenship status, genetic information (including family medical history), disability (in compliance with the Americans with Disabilities Act and any other applicable law), or any other characteristic or status protected under any applicable US, state or other law. This policy applies to all terms and conditions of employment, including recruitment and hiring, appraisal systems, promotions, and training.