Surveillance Lead

Responsibilities

About the Firm

We are a leading global financial services organization with a strong presence across major markets. Our Firm provides a full range of investment banking, brokerage, and asset management services. We are committed to maintaining the highest standards of integrity, regulatory compliance, and operational excellence.

Position Overview

The Electronic Communications Compliance Analyst is responsible for conducting surveillance and reviews of employee electronic communications to detect potential violations of Firm policy, regulatory requirements, and market conduct rules. This role plays a critical part in the Firm’s global compliance and risk management framework by helping to ensure that business communications are compliant, professional, and consistent with applicable laws and internal standards.

Key Responsibilities

• Surveillance & Review
• Monitor and review employee electronic communications (e.g., email, Bloomberg, Teams, WhatsApp, SMS, and other approved channels) for potential policy breaches, regulatory violations, or misconduct.
• Identify and escalate potential red flags related to insider trading, market manipulation, information leakage, fraud, or inappropriate business conduct.
• Classify, document, and track findings in the Firm’s surveillance systems in accordance with established procedures.
• Investigation & Escalation
• Conduct detailed follow-up reviews on flagged communications and collaborate with Legal, HR, and/or business management where necessary.
• Assist in internal investigations and provide detailed summaries or case reports to senior compliance officers and other stakeholders, as needed.
• System Oversight & Enhancement
• Help optimize electronic communication surveillance tools and lexicons to improve detection accuracy and reduce false positives.
• Participate in user acceptance testing (UAT) and enhancement initiatives for surveillance systems and compliance technology platforms.
• Regulatory & Policy Support
• Stay current on relevant regulations (e.g., SEC, FINRA, FCA, MAS, HKMA) and ensure the surveillance program aligns with global regulatory expectations.
• Support internal and external audits, regulatory exams, and ad hoc data requests related to electronic communications.
• Training & Awareness
• Assist in developing or delivering training materials to employees regarding electronic communication standards and compliance best practices.
• Help promote a strong culture of ethical conduct and adherence to Firm communication policies.
  

• Education: Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
• Experience: 2–5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
• Knowledge:
• Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
• Familiarity with market abuse, insider trading, and conduct risk frameworks.
• Hands-on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
• Skills:
• Excellent analytical and communication skills.
• Strong attention to detail and sound judgment in assessing potential compliance risks.
• Ability to manage multiple priorities and meet tight deadlines in a fast-paced environment.
• High degree of integrity and discretion when handling confidential information.
  

• Opportunity to work on a global compliance team within a dynamic and highly regulated industry.
• Exposure to cross-border compliance challenges and emerging surveillance technologies.
• Competitive compensation, benefits, and career development opportunities.
  
  

• Education: Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
• Experience: 2–5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
• Knowledge:
• Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
• Familiarity with market abuse, insider trading, and conduct risk frameworks.
• Hands-on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
• Skills:
• Excellent analytical and communication skills.
• Strong attention to detail and sound judgment in assessing potential compliance risks.
• Ability to manage multiple priorities and meet tight deadlines in a fast-paced environment.
• High degree of integrity and discretion when handling confidential information.
  

• Opportunity to work on a global compliance team within a dynamic and highly regulated industry.
• Exposure to cross-border compliance challenges and emerging surveillance technologies.
• Competitive compensation, benefits, and career development opportunities.