Job Description: Senior 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 an experienced and highly analytical professional to join our team as a
Senior Electronic Communications Surveillance Analyst. In this elevated surveillance role, the ideal candidate will possess deeper subject matter expertise in investment advisory and broker dealer compliance, strong knowledge of communications related regulatory obligations, and a demonstrated ability to identify nuanced compliance risks within electronic communications.
The Senior Analyst will serve as a key escalation point, help refine surveillance protocols, and partner closely with compliance leadership and supervisory teams to ensure evolving regulatory expectations are met.
Key Responsibilities
- Lead and perform advanced reviews of electronic communications across multiple platforms to detect potential compliance risks, policy violations, or emerging patterns of concern.
- Serve as an escalation specialist, providing well-reasoned assessments and recommending remediation steps or further review.
- Enhance review methodologies, assisting in updating lexicon terms, surveillance logic, and workflow improvements.
- Maintain strong documentation standards for supervisory, audit, and regulatory exam readiness, ensuring accuracy and completeness.
- Partner with compliance leadership, supervisory staff, and legal teams to facilitate timely issue resolution and communicate identified trends.
- Monitor and interpret regulatory developments, including updates from FINRA, the SEC, and other relevant bodies, ensuring the surveillance program remains aligned with best practices.
- Support training efforts, offering guidance to junior analysts, and contributing to team knowledge development.
- Assist with vendor tool optimization, including Global Relay or other surveillance technologies, helping identify configuration opportunities to improve detection.
Qualifications
- Bachelor's degree or equivalent experience required; advanced coursework or certifications in compliance or finance a plus.
- 2–4+ years of experience in compliance, surveillance, supervision, or a related control function within asset management, broker dealer, or financial services.
- Strong understanding of FINRA communications rules, SEC guidance, and broader regulatory expectations for electronic communication monitoring.
- Exceptional analytical and critical thinking skills, with the ability to interpret complex communications and regulatory requirements.
- Excellent written and verbal communication abilities, including experience preparing escalations or summaries for senior stakeholders.
- Demonstrated ability to operate independently, manage competing priorities, and make sound decisions in a fast-paced, dynamic environment.
- Experience with Global Relay or similar monitoring platforms strongly preferred.
Preferred Skills
- Ability to identify patterns or emerging themes in communications that may signal risk.
- Strong organizational and workflow management skills.
- Collaborative, proactive mindset with an interest in process enhancement and continuous improvement.
- Comfortable mentoring less experienced team members and contributing positively to team culture.
