Ecomms Surveillance & 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

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