Market Conduct Surveillance Analyst

1 Month ago • 3-5 Years • Finance

About the job

3 skills required for this role

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data-science

innovation

quality-control

Job Description

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Who are we?

Smarsh empowers its customers to manage risk and unleash intelligence in their digital communications. Our growing community of over 6500 organizations in regulated industries counts on Smarsh every day to help them spot compliance, legal or reputational risks in 80+ communication channels before those risks become regulatory fines or headlines. Relentless innovation has fueled our journey to consistent leadership recognition from analysts like Gartner and Forrester, and our sustained, aggressive growth has landed Smarsh in the annual Inc. 5000 list of fastest-growing American companies since 2008.

Summary

We are seeking an experienced subject matter expert in financial supervision domain to join Smarsh’s machine learning team as subject matter expert on financial misconduct. The ideal candidate will have a strong background in evaluating and classifying financial misconduct, and a thorough understanding of SEC,FINRA or other regulations.

How will you contribute?

Analyze regulatory filings and judgments to cull examples of conduct violations.
Annotate market misconduct in large datasets for ML teams to train and develop high quality models.
Stay updated on emerging trends in financial crimes, misconduct, regulatory changes and detecting them in electronic communication.
Provide subject expertise on SEC and FINRA regulations.
Act as a SME for the research and product teams, providing domain knowledge and insights on financial crimes and misconduct.
Contribute to the development and refinement of data annotation guidelines specific to financial irregularities
Assist in quality control of annotated datasets.
Collaborate with data scientists, researchers and product teams to improve model performance in detecting financial misconduct.

What will you bring?

Bachelor's degree in Finance, Accounting, Data Science, or related field.
Minimum of 3-5 years hands-on experience working within an electronic communications surveillance team, including direct involvement in reviewing and managing Level 1 and Level 2 alerts.
Comprehensive understanding of the risk typologies targeted by communications and/or trade surveillance technologies and the ability to recognize them in alerts.
Deep understanding of the legal and compliance workflow in financial services.
In-depth knowledge of risk typologies targeted by Communications and/or Trade Surveillance technologies, along with expertise in identifying these risks within alerts.
Strong analytical skills with a proven passion for emerging technologies, and a track record of leveraging these technologies to mitigate operational risk.
Experience with data annotation tools.

About our culture

Smarsh hires lifelong learners with a passion for innovating with purpose, humility and humor. Collaboration is at the heart of everything we do. We work closely with the most popular communications platforms and the world’s leading cloud infrastructure platforms. We use the latest in AI/ML technology to help our customers break new ground at scale. We are a global organization that values diversity, and we believe that providing opportunities for everyone to be their authentic self is key to our success. Smarsh leadership, culture, and commitment to developing our people have all garnered Comparably.com Best Places to Work Awards. Come join us and find out what the best work of your career looks like.

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