Compliance Analyst - Surveillance

Department: Compliance 

Position Overview:

• Support the Compliance department in the delivery of the wider compliance program
• Assist with trade surveillance monitoring to detect market abuse or improper trading behavior
• Conducting daily analysis of automated surveillance alerts through systems such as SMARTS
• Carry out audio and electronic communications surveillance
• Assist with e-discovery requests
• Conduct periodic forensic testing and reviews in accordance with the Compliance Monitoring Plan

Required Qualifications:

• Bachelor's degree in finance, business, or a related field; or professional certification (e.g., CAMS) preferred
• 1-3 years of compliance, audit, risk or regulatory experience
• Knowledge of various financial products and markets
• Excellent administrative skills and the ability to prioritize tasks to meet deadlines
• Ability to maintain a high level of confidentiality while handing protected and sensitive material
• Strong written and verbal communication skills