Location: New York,NY, USA
Summary
Surveillance analyst is responsible for surveillance and monitoring of electronic and voice communications of CACIB and CAS-USA staff.
Key Responsibilities
This Surveillance Analyst will:
Perform routine surveillance of electronic and voice communications to ensure compliance with the applicable regulations and detect, if any, possible violations of policies, regulations and/or laws, which have occurred in the use of the firms communication devices;
Escalate exceptions to the Business line and Compliance management along with supporting documentation;
Prepare KPI metrics for monthly and quarterly reporting to management;
Maintain an audit trail of all investigations;
Conduct ad-hoc investigations in connection with special requests from management and HR;
Maintain the list of personnel with their corresponding access to various communication channels and their monitored scope;
Participate in testing and tuning of new and existing surveillance systems while working closely with IT;
Maintenance of procedures related to electronic and voice communication surveillance as needed;
Conduct research by working with management utilizing surveillance tools to analyze potential breaches and gauge the severity of breaches;
Report issues to management for further action.
Management and Reporting
The Surveillance Analyst reports directly to the US Global Markets Regulatory Compliance (GMRC) Head of Monitoring & Surveillance and ultimately to the US Head of GMRC.
Key Internal contacts
o Legal department;
o Audit department;
o Risk departments;
o Human Resources department;
o Operations departments;
o Information Technology departments; and
o Various Front Office business lines.
Key External contacts
o Various vendors of surveillance systems
o Bloomberg support
Salary Range: $100k - $120k
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