E-comm Surveillance Analyst
The Firm is seeking a Regulatory Compliance Analyst to join our Compliance Department in the Bangalore, India. The successful candidate will be responsible for conducting communications reviews (emails, slack, etc.) of trading groups and supporting various compliance projects. This role is critical to ensure the effectiveness, scalability, and robustness of the firm’s email monitoring program.
Key Responsibilities:
Conduct communication reviews for trading groups and perform searches related to internal investigations.Prepare weekly and monthly memos summarizing findings from email surveillance reviews.Assist in the development and enhancement of policies and procedures to reflect changes in business, regulations, and emerging compliance issues.Stay up to date with relevant regulatory developments and changes.Participate in other compliance-related projects as needed.
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