As a Compliance Surveillance Analyst, you will support content generation while protecting clients from sensitive information by reviewing expert call transcripts and ensuring compliance with legal and regulatory standards.
Responsibilities
Review expert call transcripts to detect and resolve instances of material nonpublic and confidential information
Complete due diligence review of each call and escalate non-compliance
Conduct research of financial reports and regulatory filings
Manage internal and external communications
Perform administrative tasks, including data input and tracking
Requirements
1-2 years of experience as a paralegal, legal assistant, or similar role is preferred
Strong attention to detail and reading comprehension