Compliance analyst
Compliance analyst, surveillance analyst, trade reconstruction analyst
Builds reconstructions for requests and reviews, deciding which communications belong to which trades.
Sees
- Orders, executions and communications within the desks and periods they are assigned
- Suggested links with the factors behind each one
- Requests and reconstructions assigned to them
- Gap flags for the traders and periods they are working on
Does
- Requests reconstructions for an order, trader, client or period
- Confirms, rejects or adds links between communications and trades, with a note
- Reviews gaps and records what was found
- Adds context notes to the timeline
- Submits reconstructions for review
Cannot
- Approve or release their own reconstruction
- Place or release a legal hold
- Change retention settings or identity mappings