Job Description: Electronic Communications Surveillance Analyst
PFI Innovation Centre India is an exciting new innovation center. We're building a future that helps people live better lives longer— and we're looking for bold thinkers and team players to help us do it.
Here, you'll tackle complex challenges, collaborate with brilliant minds across the globe, and grow your career while helping millions achieve financial security.
a Purpose Driven Company – 150 Years
While the PFI brand is new to India, you'll be a part of the Prudential Financial, Inc. family. Founded in 1875 in Newark, New Jersey, we serve 50 million customers across more than 50 countries. With $1.334 trillion in assets, we're a global leader in institutional asset management. The 2nd largest life insurer in the US and the 9th largest institutional global asset manager.
At PFI Innovation Centre India, you'll find a high-performance culture that's flexible, collaborative and grounded in respect. We engage with candor, take calibrated risks, and hold ourselves accountable — always focused on delivering for our customers. It's the standard we choose every day as we grow, perform, and win as one team.
We offer valuable leadership, mentoring and learning opportunities, paired with the flexibility and support to help you thrive.
Whether you're just starting out or ready to take your next step, we'll help you grow with purpose and do the best work of your career.
We are seeking a detail-oriented and curious individual to join our compliance team as an Electronic Communications Surveillance Analyst. The ideal person will be knowledgeable in investment advisory and broker dealer terminology, code of conduct and anti-fraud standards, and understand the general risks and controls surrounding each. In this surveillance role, they will be responsible for reviewing, identifying, and appropriately escalating issues found within electronic communications to ensure adherence to regulatory standards and internal policies.
Key Responsibilities
- Monitor electronic communications across various platforms to spot potential compliance issues and escalate findings according to established procedures.
- Assist in maintaining comprehensive records of reviews and escalations for audit and regulatory purposes.
- Collaborate with compliance and supervisory teams to ensure timely resolution of escalated matters.
- Stay informed on current FINRA rules related to Electronic Communications as well as SEC guidance on best practices for electronic communication monitoring.
Qualifications
- Bachelor's degree or equivalent experience preferred.
- Strong attention to detail and a high level of curiosity.
- Familiarity with FINRA regulations and/or SEC guidelines for electronic communications is highly desirable.
- Excellent written and verbal communication skills.
- Ability to work independently and as part of a team in a fast-paced environment.
- Experience or aptitude with Global Relay or other surveillance software is a plus.
Preferred Skills
- Analytical mindset with the ability to interpret regulatory requirements.
- Organizational skills to manage multiple tasks and priorities.
- Proficiency in using monitoring tools and software platforms.
