As an Analyst specializing in eCommunications surveillance, you will play a pivotal role in supporting the migration and transformation of the enterprise eCommunications surveillance platform which ensures the integrity and regulatory compliance of our communication channels. This position requires a keen eye for detail, a strong understanding of financial regulations, and proficiency in analyzing communication data to identify potential compliance issues.
Key Responsibilities:
eCommunications Surveillance:
Develop analysis and requirements to support delivery objectives for electronic communications (e.g., emails, chat messages) to detect potential compliance breaches, insider trading, and market manipulation.
Develop and maintain surveillance systems to ensure comprehensive coverage of communication channels and adherence to regulatory requirements.
Regulatory Compliance:
Ensure that the surveillance framework is aligned with industry regulations, including SEC, FINRA, and other relevant bodies.
Stay updated with changes in regulatory requirements and adjust surveillance practices accordingly.
Data Analysis:
Conduct in-depth analyses of communication data to identify patterns, trends, and anomalies that may indicate compliance risks.
Develop and utilize analytical tools and methodologies to enhance the efficiency and accuracy of surveillance activities.
Testing and Documentation:
Prepare detailed reports on transitioned data to support accuracy of transition, highlighting potential issues and recommending corrective actions.
Document surveillance procedures, methodologies, and findings to ensure transparency and accountability.
Collaboration:
Work closely with senior stakeholders, surveillance leads, technology teams, and other stakeholders to provide transparency on migration efforts.
Provide reporting and updates on key work streams to support the migration initiatives.
System Improvement:
Identify opportunities for enhancing existing surveillance systems and processes.
Participate in the development and implementation of new tools and technologies to improve surveillance effectiveness.
Qualifications:
Education: Bachelor's degree in Finance, Business Administration, Information Technology, or a related field. Advanced degrees or certifications (e.g., CFA, CFE) are a plus.
Experience: Minimum of 3-5 years of experience in a business analyst role within the financial services industry, with a focus on eCommunications surveillance or compliance.
Skills:
Strong understanding of financial regulations and compliance requirements related to electronic communications.
Proficiency in data analysis and reporting tools (e.g., Excel, SQL, BI tools).
Excellent analytical and problem-solving skills.
Ability to communicate complex issues clearly and effectively.
Detail-oriented with a strong commitment to accuracy and integrity.
Technical Skills:
Familiarity with surveillance software and communication monitoring systems.