Surveillance Lead

Cantor Fitzgerald Ireland Ltd; Hyderabad; On-site; INR 1,200,000 - 2,200,000; Full time

Job summary

Cantor Fitzgerald Ireland Ltd is seeking an Electronic Communications Compliance Analyst to join its global regulatory program. You will monitor and review employee communications to detect potential policy breaches and regulatory violations, supporting investigations and audits.

The role requires 2–5 years in compliance or surveillance, knowledge of SEC/FINRA/MiFID II, and hands-on experience with major surveillance platforms; collaborate with Legal, HR and management to uphold integrity and

Qualifications

• Education: Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
• Experience: 2–5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
• Knowledge: Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
• Familiarity with market abuse, insider trading, and conduct risk frameworks.
• Hands-on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.

Responsibilities

• Surveillance & Review: Monitor and review employee electronic communications for potential policy breaches, regulatory violations, or misconduct.
• Investigation & Escalation: Conduct detailed follow-up reviews and collaborate with Legal, HR, and management; assist in internal investigations as needed.
• System Oversight & Enhancement: Help optimize surveillance tools and lexicons; participate in UAT and enhancements.
• Regulatory & Policy Support: Stay current on SEC, FINRA, FCA, MiFID II, APAC regs; support audits and data requests.
• Training & Awareness: Develop or deliver training on electronic communication standards and compliance practices.

Skills

Analytical thinking

Communication skills

Attention to detail

Prioritization

Integrity & discretion

Education

Degree in Finance/Business/Law or related field

Tools

NICE Actimize

Smarsh

Global Relay

Bloomberg

Behavox

SteelEye

Job description

Job Description:

Responsibilities

About the Firm

We are a leading global financial services organization with a strong presence across major markets. Our Firm provides a full range of investment banking, brokerage, and asset management services. We are committed to maintaining the highest standards of integrity, regulatory compliance, and operational excellence.

Position Overview

The Electronic Communications Compliance Analyst is responsible for conducting surveillance and reviews of employee electronic communications to detect potential violations of Firm policy, regulatory requirements, and market conduct rules. This role plays a critical part in the Firm’s global compliance and risk management framework by helping to ensure that business communications are compliant, professional, and consistent with applicable laws and internal standards.

Key Responsibilities

• Surveillance & Review
  • Monitor and review employee electronic communications (e.g., email, Bloomberg, Teams, WhatsApp, SMS, and other approved channels) for potential policy breaches, regulatory violations, or misconduct.
  • Identify and escrow potential red flags related to insider trading, market manipulation, information leakage, fraud, or inappropriate business conduct.
  • Classify, document, and track findings in the Firm’s surveillance systems in accordance with established procedures.
• Investigation & Escalation
  • Conduct detailed follow-up reviews on flagged communications and collaborate with Legal, HR, and/or business management where necessary.
  • Assist in internal investigations and provide detailed summaries or case reports to senior compliance officers and other stakeholders, as needed.
• System Oversight & Enhancement
  • Help optimize electronic communication surveillance tools and lexicons to improve detection accuracy and reduce false positives.
  • Participate in user acceptance testing (UAT) and enhancement initiatives for surveillance systems and compliance technology platforms.
• Regulatory & Policy Support
  • Stay current on relevant regulations (e.g., SEC, FINRA, FCA, MAS, HKMA) and ensure the surveillance program aligns with global regulatory expectations.
  • Support internal and external audits, regulatory exams, and ad hoc data requests related to electronic communications.
• Training & Awareness
  • Assist in developing or delivering training materials to employees regarding electronic communication standards and compliance best practices.
  • Help promote a strong culture of ethical conduct and adherence to Firm communication policies.

Qualifications & Experience

• Education: Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
• Experience: 2–5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
• Knowledge:
  • Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
  • Familiarity with market abuse, insider trading, and conduct risk frameworks.
  • Hands‑on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
• Skills:
  • Excellent analytical and communication skills.
  • Strong attention to detail and sound judgment in assessing potential compliance risks.
  • Ability to manage multiple priorities and meet tight deadlines in a fast‑paced environment.
  • High degree of integrity and discretion when handling confidential information.

Why Join Us

• Opportunity to work on a global compliance team within a dynamic and highly regulated industry.
• Exposure to cross-border compliance challenges and emerging surveillance technologies.
• Competitive compensation, benefits, and career development opportunities.

Qualifications & Experience

• Education: Degree in Finance, Business, Law, or a related field required; advanced degree or compliance certification (e.g., CAMS, CRCM, ICA) a plus.
• Experience: 2–5 years of experience in compliance, surveillance, or monitoring within a broker-dealer, investment bank, or asset management firm.
• Knowledge:
  • Strong understanding of global financial regulations (e.g., SEC, FINRA, FCA, MiFID II, APAC regulators).
  • Familiarity with market abuse, insider trading, and conduct risk frameworks.
  • Hands‑on experience with surveillance platforms such as NICE Actimize, Smarsh, Global Relay, Bloomberg, Behavox, or SteelEye preferred.
• Skills:
  • Excellent analytical and communication skills.
  • Strong attention to detail and sound judgment in assessing potential compliance risks.
  • Ability to manage multiple priorities and meet tight deadlines in a fast‑paced environment.
  • High degree of integrity and discretion when handling confidential information.

Why Join Us

• Opportunity to work on a global compliance team within a dynamic and highly regulated industry.
• Exposure to cross-border compliance challenges and emerging surveillance technologies.
• Competitive compensation, benefits, and career development opportunities.