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Medium: metro mid-level role with niche e-comm surveillance skills and global compliance, moderate brand visibility.
High: requires finance-specific regulatory knowledge, securities market experience, and e-communications surveillance expertise.
High: explicit 6–7 years requirement, domain-specific surveillance experience and regulatory knowledge required.
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Lead and oversee electronic communications surveillance and investigations across NA and EMEA markets, including review of chats, emails, instant messages, social media, and other platforms.
Manage compliance with regulatory frameworks (FINRA, SEC, FCA, etc.) ensuring documentation, audit trails, and alignment with internal policies and global standards.
Own SLA adherence, deliver management reports, lead remediation and continuous improvement initiatives, and act as escalation point for complex cases while leading and mentoring the surveillance team.
6–7 years of relevant experience in Compliance, electronic communications surveillance, investigations, regulatory reviews, and case handling.
Bachelor’s or Master’s degree in finance, Accounting, Business Management, or related field.
Strong working knowledge of global regulatory frameworks such as FINRA, SEC, FCA and financial instruments including equities, derivatives, fixed income, structured products.
Role requires in-office presence at least 3 days per week; work timing approximately 8:00 PM to 4:30 AM IST.
Experience working with global stakeholders and cross-regional teams spanning NA, EMEA, and APAC regions, demonstrating strong coordination skills.
Proven ability to handle multiple priorities in fast-paced, high-compliance financial services environments, such as asset/wealth management or investment banking.
Strong investigative, analytical, and decision-making skills with hands-on expertise in e-communications surveillance and regulatory compliance case management.