Description

The role involves working on electronic communications surveillance and investigations across global markets within compliance systems for the NA and EMEA regions

Surveillance & Investigations

• Lead and oversee end-to-end surveillance reviews of electronic communications, including Bloomberg chats, emails, instant messages, text messages, and social media platforms.

• Monitor and review social media activity (posts, likes, private messages), ensuring no confidential or proprietary information is disclosed; approve social media profiles in line with policy.

• Proactively identify, investigate, and escalate indicators of market abuse, insider trading, misconduct, or regulatory breaches.

• Ensure investigations are conducted in accordance with internal policies, regulatory requirements, and evidentiary standards, including proper documentation and record retention.

Regulatory Compliance & Risk Oversight

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