Electronic Communications Surveillance Analyst

Role overview:

The Electronic Communications Surveillance Analyst is responsible for monitoring, reviewing, and investigating employee electronic communications to identify potential violations of regulatory requirements, firm policies, market conduct rules, and ethical standards. The role supports the firm's compliance and risk management framework by conducting surveillance across email, chat, messaging platforms and other digital communication channels.

Key Responsibilities:

Surveillance Monitoring

Review alerts generated by communications surveillance systems
Monitor employee communications across email, Bloomberg Chat, Slack, and mobile messaging platforms
Identify indicators of market abuse, insider trading, bribery and corruption, conflicts of interest, misconduct, or policy breaches
Perform targeted reviews and ad hoc searches based on emerging risks or regulatory requests

Investigations

Analyze potentially suspicious communications and related business activity
Escalate issues to Compliance, Legal, Human Resources, or senior management
Support internal investigations, audits, and regulatory examinations

Program Enhancement

Recommend process improvements to increase surveillance effectiveness
Participate in system upgrades, testing, and implementation of new surveillance technologies
Help tune alert parameters to reduce false positives and improve detection quality

Skills & Experience

Essential

Bachelor's degree
1–3 years of experience in compliance, surveillance, risk management, investigations, or financial services
Strong analytical and investigative skills
Excellent written and verbal communication abilities
High attention to detail and ability to handle sensitive information confidentially
Proficiency in Microsoft Excel, Word, and PowerPoint
Ease with technology and learning new systems

Desirable

Experience using communications surveillance, eDiscovery, or compliance monitoring platforms (e.g., Bloomberg Vault, Behavox, Smarsh, Global Relay, SteelEye, Relativity, or similar) is a plus.
Knowledge of securities regulations and market conduct rules