Job Description
The Communications Surveillance Program detects potential market misconduct by reviewing electronic and voice communication alerts from identified in‑scope employees. As a Compliance Surveillance Analyst, you will review alerts, identify potential violations, engage with control partners (e.g., Conduct, Financial Crime and Compliance), and manage cases through closure.
Key Responsibilities
- Maintain an up‑to‑date book of work, tracking deliverables, decisions, and minutes for the Surveillance Optimisation team.
- Support BAU processes for Communications Surveillance, including generating and analysing reports, population management, change process implementation, system testing, and exclusion and quick review strategies.
- Review alerts and, when necessary, execute escalation procedures to detect market misconduct, mis‑selling risks, or irregular behaviour.
- Escalate issues to Team Leads or Communications Surveillance SMEs for furth...