Job Description

• Conduct daily surveillance of electronic and voice communications to ensure compliance with appropriate rules, regulations, and firm policies 
• Perform research and investigations to identify the reason for potential violations 
• Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements 
• Work with members of the firm’s Business Lines, Advisory and other departments, to identify, analyze, investigate, and resolve issues 
• Work on ad-hoc Surveillance Projects as needed, such as new tool implementation
• Provide training and mentorship to junior staff, assisting them in their daily tasks. 

We are looking for someone with strong analytical skills, who can identify key facts from a large amount of information. You should understand the importance of c...