eComms - Compliance Analyst

Larson Maddox; New York (NY); On-site; USD 90,000 - 130,000; Full time

Job summary

Larson Maddox's client in the financial services sector seeks an eComms Compliance Analyst to strengthen its surveillance program in a fast-paced environment. You will review electronic communications, perform surveillance, and support internal investigations with detailed analysis and clear reporting.

Collaborate with compliance and business stakeholders to document findings, enhance policies and controls, and stay abreast of regulatory developments affecting employee communications and conduct

Qualifications

• Bachelor’s degree preferred.
• 1–3 years of experience in compliance or surveillance in financial services.
• Experience reviewing electronic communications preferred.
• Background in investment adviser, hedge fund, asset manager, or broker-dealer preferred.
• Understanding regulatory expectations for employee communications.
• Strong analytical, investigative and written communication skills.
• Ability to manage multiple priorities in a fast-paced environment.
• Strong attention to detail and professional judgment.

Responsibilities

• Review internal electronic communications (emails, chats, and other channels).
• Conduct targeted searches and surveillance reviews to identify potential risks.
• Support monitoring activities and internal investigations through detailed research.
• Prepare clear, well-structured reports summarizing findings.
• Assist with the enhancement of compliance policies, procedures, and controls.
• Monitor regulatory developments and support compliance initiatives.
• Partner with stakeholders across compliance and business functions on projects.

Skills

Analytical skills

Written communication

Attention to detail

Multi-tasking

Education

Bachelor's degree

Job description

Our client is a highly regarded financial services organization seeking an eComms Compliance Analyst to join its growing compliance team.

This role offers the opportunity to support a sophisticated monitoring and surveillance program within a fast-paced, high-performance environment. The successful candidate will work closely with compliance and business stakeholders to identify potential risks, support internal inquiries, and strengthen the firm's overall control framework.

What You Do

• Review internal electronic communications, including emails, chats, and other communication channels
• Conduct targeted searches and surveillance reviews to identify potential compliance risks and policy violations
• Support monitoring activities and internal investigations through detailed research and analysis
• Prepare clear, well-structured reports summarizing findings and key observations
• Assist with the enhancement of compliance policies, procedures, and controls
• Monitor regulatory developments and support compliance-related initiatives across the organization
• Partner with stakeholders across compliance and business functions on various projects and reviews

What You Bring

• Bachelor's degree preferred
• 1-3 years of experience in compliance, surveillance, risk, legal, or a related function within financial services
• Experience conducting electronic communications reviews, surveillance, or monitoring activities preferred
• Background within an investment adviser, hedge fund, asset manager, or broker-dealer strongly preferred
• Understanding of regulatory expectations surrounding employee communications and conduct risk
• Strong analytical, investigative, and written communication skills
• Ability to manage multiple priorities in a fast-paced environment
• Strong attention to detail and sound professional judgment

Why Apply?

• Join a best-in-class financial services organization known for its high standards and collaborative culture
• Gain exposure to complex surveillance, regulatory, and compliance matters
• Work alongside experienced professionals and key business stakeholders
• Take on meaningful responsibility while building specialized expertise in a highly sought-after area of compliance

This opportunity is well suited for a motivated compliance professional seeking broad exposure, meaningful responsibility, and a clear path for long-term growth within a best-in-class organization.