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Compliance Surveillance Analyst

Remote: 
Full Remote
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Offer summary

Qualifications:

1-2 years of experience in a related field such as paralegal, compliance, or business analysis is preferred., Strong research and analytical skills are essential for the role., Acute attention to detail and strong reading comprehension are required., Ability to prioritize tasks and manage time effectively in a fast-paced environment..

Key responsabilities:

  • Review expert call transcripts to identify and resolve instances of confidential information.
  • Conduct due diligence reviews and document any compliance violations.
  • Perform advanced research on financial reports and regulatory filings.
  • Manage internal and external communications while maintaining operational efficiency.

AlphaSense logo
AlphaSense Large https://www.alpha-sense.com/
1001 - 5000 Employees
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Job description

About AlphaSense: 

The world’s most sophisticated companies rely on AlphaSense to remove uncertainty from decision-making. With market intelligence and search built on proven AI, AlphaSense delivers insights that matter from content you can trust. Our universe of public and private content includes equity research, company filings, event transcripts, expert calls, news, trade journals, and clients’ own research content.

The acquisition of Tegus by AlphaSense in 2024 advances our shared mission to empower professionals to make smarter decisions through AI-driven market intelligence. Together, AlphaSense and Tegus will accelerate growth, innovation, and content expansion, with complementary product and content capabilities that enable users to unearth even more comprehensive insights from thousands of content sets. Our platform is trusted by over 4,000 enterprise customers, including a majority of the S&P 500. Founded in 2011, AlphaSense is headquartered in New York City with more than 2,000 employees across the globe and offices in the U.S., U.K., Finland, India, Singapore, Canada, and Ireland. Come join us!

About the Team:

Tegus by AlphaSense facilitates extremely valuable calls between our clients and experts. Given the
proprietary insights in these conversations, compliance is critical to our business, and a key component of
our value add. The Compliance Team provides our clients with actionable insights while maintaining the
highest legal and regulatory standards.

About the Role: 

As a Compliance Surveillance Analyst, you will play a crucial role in supporting our content generation
while protecting our clients from potentially sensitive information. You will gain extensive knowledge of
Tegus’ cutting edge compliance program to facilitate the review of expert call transcripts. This role is
fast-paced, so agility and ability to work under a tight deadline are key.

Who You Are:
  • 1-2 years of experience as a paralegal, legal assistant, compliance/financial/business analyst, or
    similar is preferred, but not required. Strong transferrable skills, such as research and analysis, are
    also highly valued.
  • Acute attention to detail and strong reading comprehension with proofreading, drafting, and
    investigative/research experience.
  • Ability to effectively prioritize tasks, manage time, and remain highly organized while working
    independently.
  • Thrives in a dynamic, fast-paced environment, with the ability to adapt quickly to changing
    priorities and contribute to innovative solutions that support Tegus’ business needs.

What You’ll Do: 

  • Serve as the first human layer of review for expert call transcripts to detect and resolve instances
    of material nonpublic and confidential information in accordance with internal protocols,
    applicable laws/regulations, and industry standards.
  • Complete due diligence review of each call, document any violations comprehensively, and
    escalate non-compliance with Tegus sourcing guidelines as necessary.
  • Conduct advanced research of financial reports and regulatory filings using internal databases and
    external resources to determine the extent to which information exists in the public domain.
  • Proactively manage internal and external communications while maintaining efficiency and
    adaptability in a fast-paced, time-sensitive environment.
  • Perform administrative tasks, including but not limited to, inputting, tracking, and maintaining
    accurate data on processes, transcripts, and workflows, while identifying opportunities to improve
    operational efficiency.

The Total Compensation Range reflects the base salary and the average variable bonus potential, with opportunities for uncapped earnings.

For base compensation, we set standard ranges for all US-based roles based on function, level and geographic location, benchmarked against similar stage growth companies and internal comparables. In order to be compliant with local legislation, as well as to provide greater transparency to candidates, we share salary ranges on all job postings regardless of desired hiring location. Final offer amounts are determined by multiple factors including geographic location as well as candidate experience/expertise and may vary from the amounts listed below.

Total Compensation Range
$57,000$62,700 USD

AlphaSense is an equal-opportunity employer. We are committed to a work environment that supports, inspires, and respects all individuals. All employees share in the responsibility for fulfilling AlphaSense’s commitment to equal employment opportunity. AlphaSense does not discriminate against any employee or applicant on the basis of race, color, sex (including pregnancy), national origin, age, religion, marital status, sexual orientation, gender identity, gender expression, military or veteran status, disability, or any other non-merit factor. This policy applies to every aspect of employment at AlphaSense, including recruitment, hiring, training, advancement, and termination.

In addition, it is the policy of AlphaSense to provide reasonable accommodation to qualified employees who have protected disabilities to the extent required by applicable laws, regulations, and ordinances where a particular employee works.

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Experience

Spoken language(s):
English
Check out the description to know which languages are mandatory.

Other Skills

  • Communication
  • Problem Solving

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