Compliance Surveillance Analyst

Employer Industry: Market Intelligence and Compliance Services

• Salary range of $53,000 — $57,000 USD
• Opportunity for performance-based bonuses and equity
• Comprehensive benefits program
• Fast-paced work environment with opportunities for professional growth
• Role plays a crucial part in maintaining legal and regulatory compliance

• Review expert call transcripts to identify and resolve instances of material nonpublic and confidential information
• Conduct due diligence reviews of calls and document any violations
• Perform advanced research on financial reports and regulatory filings
• Manage internal and external communications efficiently in a time-sensitive setting
• Maintain accurate data on processes, transcripts, and workflows, while seeking improvements in operational efficiency

• 1-2 years of experience as a paralegal, legal assistant, compliance/financial/business analyst, or similar role
• Acute attention to detail and strong reading comprehension skills
• Proven ability to prioritize tasks and manage time effectively
• Experience in research and analysis
• Strong organizational skills and ability to work independently

• Experience in a fast-paced, dynamic work environment
• Strong drafting and proofreading skills
• Familiarity with compliance and regulatory standards
• Ability to adapt to changing priorities and contribute to innovative solutions

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