E-Communications Surveillance Analyst

About the role

The US Capital Markets Electronic Communication Surveillance Group (“ECSG”) is responsible for conducting surveillance of electronic communications pursuant to FINRA Rule 3110. Members of the ECSG will be expected to:

• Provide surveillance coverage to relevant business units in line with industry best practices
• Provide top-tier support to the business lines serviced
• Mitigate risk for RBC by detecting and escalating compliance issues
• Cross train amongst the team for redundant coverage
• Seek efficiencies and both strategic and tactical improvements to the surveillance program

Responsibilities

• Conduct routine review of electronic communications to ensure compliance with company policies and applicable regulations (i.e., FINRA, SEC)
• Ongoing assessment of surveillance efficiency and reporting to management
• Direct targeted reviews in response to inquiries from Compliance, Legal, or Human Resources personnel
• Interpret and investigate substantive findings for context and potential impact
• Manage the escalation and resolution of items that may present concerns
• Conduct special projects as assigned by management including the escalation and resolution of potential gaps and identified issues
• Maintain surveillance monitoring groups and provide metrics for reporting to management
• Perform UAT testing as required

Requirements

• Bachelor’s Degree (BA or BS) in Business or Finance preferred
• Minimum of 2–5 years of experience in the brokerage industry, providing familiarity with Capital Markets, securities industry regulatory environment, practices and operations
• Knowledge of FINRA, NYSE, SEC and MSRB rules and regulations
• Prior experience at a securities regulator (i.e., FINRA, SEC, NYSE) preferred but not necessary
• Experience interacting with Supervisors, Desk Heads and senior Compliance & Legal personnel
• Experience preparing clear and concise reports in a timely fashion, documenting applicable business requirements and regulatory concerns
• Series 7 and 63 licenses are nice to have, but not required
• Detailed understanding of compliance issues facing Broker-Dealers
• Strong written and verbal communication skills
• Creative thinker
• Second Language a plus, but not required

Pay

The good-faith expected salary range for the above position is $90,000 – $125,000 depending on factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary range does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life and disability insurance; and paid time-off plan.