Job Description
We are looking for a detail-oriented Compliance Analyst to join a growing team responsible for monitoring electronic communications and identifying potential regulatory and conduct-related risks.
This role supports the rollout of a new communications surveillance program, focused on improving detection quality, reducing false positives, and strengthening oversight frameworks. It’s a great opportunity to be part of a high-impact initiative within compliance.
Key Responsibilities:
+ Review electronic communications (email, Teams, LinkedIn, WhatsApp) from registered representatives
+ Analyze alerts generated by surveillance tools to identify potential compliance concerns
+ Conduct initial investigations into issues such as unapproved channels, complaints, or improper conduct
+ Document findings clearly and escalate high-risk cases to compliance partners
+ Manage a high-volume caseload while meeting turnaround timelines
+ Contribu...
This role supports the rollout of a new communications surveillance program, focused on improving detection quality, reducing false positives, and strengthening oversight frameworks. It’s a great opportunity to be part of a high-impact initiative within compliance.
Key Responsibilities:
+ Review electronic communications (email, Teams, LinkedIn, WhatsApp) from registered representatives
+ Analyze alerts generated by surveillance tools to identify potential compliance concerns
+ Conduct initial investigations into issues such as unapproved channels, complaints, or improper conduct
+ Document findings clearly and escalate high-risk cases to compliance partners
+ Manage a high-volume caseload while meeting turnaround timelines
+ Contribu...