Senior Compliance Specialist - Communication Surveillance

About the role

The Senior Compliance Specialist will serve as a key contributor to the Communications Surveillance Oversight team, operating with a high degree of independence while supporting Lead Compliance Officers and Senior Compliance Managers on surveillance reviews, issue identification, and program enhancements.

Responsibilities

• Execute independent, risk-based oversight of the front line's Communications Surveillance Program, including email, voice, and other electronic communications monitoring.
• Perform detailed reviews of surveillance alerts, investigative outcomes, and escalation decisions to assess consistency with regulatory expectations and internal standards.
• Conduct targeted or thematic deep-dive reviews to identify potential compliance and conduct risks, including market abuse, misuse of information, inappropriate communications, and supervision gaps.
• Audit and assess the effectiveness of surveillance coverage, alert logic, escalation frameworks, and documentation practices.
• Support review and challenge of front-line governance, procedures, and operating practices related to communications surveillance.
• Identify surveillance coverage gaps, emerging risks, and enhancement opportunities.
• Prepare surveillance oversight metrics, management information (MI), and materials for senior management and governance committees.
• Interpret and apply applicable laws, regulations, and internal policies related to communications surveillance, supervision, and recordkeeping.
• Support Regulatory Compliance Testing, Internal Audit, and regulatory inquiries, including review of findings and remediation actions.
• Partner with Compliance, Technology, and data teams to support assessments of surveillance data quality, logic design, and analytical enhancements.
• Contribute to the development and maintenance of communications surveillance policies, procedures, and oversight documentation.
• Exercise sound judgment and independence while operating within established oversight frameworks and escalation protocols.

Requirements

• 4+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• Experience performing or overseeing communications surveillance in a financial services environment.
• Understanding of communications-based conduct risks, including market abuse, insider information, competition law, and market conduct breaches.
• Familiarity with global regulatory frameworks relevant to communications surveillance, such as MAR, MiFID II, and applicable US regulatory expectations.
• Experience reviewing surveillance alerts, investigations, or quality assurance outcomes.
• Exposure to communications surveillance platforms and alert review workflows.
• Ability to perform independent analysis and raise issues with appropriate supporting rationale.
• Experience supporting audits, regulatory examinations, or compliance testing activities.
• Familiarity with the use of advanced analytics, automation, or artificial intelligence in surveillance, including awareness of governance and human oversight considerations.
• Strong analytical and problem-solving skills with high attention to detail.
• Clear and concise written and verbal communication skills.
• Professionalism, adaptability, and ability to manage multiple priorities in a regulated environment.

Qualifications

• Education: Bachelor's degree or equivalent experience.

Skills

• Strong analytical and problem-solving skills.
• Attention to detail.
• Ability to work independently and with a team.
• Effective communication skills.
• Knowledge of regulatory requirements and compliance standards.

Benefits

• Health benefits
• 401(k) Plan
• Paid time off
• Disability benefits
• Life insurance, critical illness insurance, and accident insurance
• Parental leave
• Critical caregiving leave
• Discounts and savings
• Commuter benefits
• Tuition reimbursement
• Scholarships for dependent children
• Adoption reimbursement