Job Category: Remote
Job Type: Full Time
Skills: Big Data BRD Documentation Cloud Computing Communication Compliance Policies Data Analysis intent detection Machine Learning Natural Language Processing NER Python Risk Management Scala SEC/FINRA Regulatory Response sentiment analysis Stakeholder Collaboration Statistical Modeling TensorFlow Time Series Analysis topic modeling Trade Surveillance
Qualifications
Bachelor’s degree and 0–2 years of work experience in data science, machine learning, or quantitative research in a financial services or regulatory compliance environment
Responsibilities
- Surveillance Tool Development:
Design and develop advanced surveillance tools for monitoring electronic communications. Leverage natural language processing (NLP) techniques such as entity extraction, sentiment analysis, intent detection, and topic modeling to improve alert generation and anomaly detection. - Regulatory Response & Documentation:
Gather, investigate, and analyze trade and communication data in response to regulatory requests (e.g. SEC, FINRA, CFTC). Prepare documentation, analyze potential issues, escalate risk items, and support corrective action plans. - Scenario Modeling & Pattern Detection:
Create and enhance surveillance scenarios using time series analysis, feature engineering, and statistical modeling (e.g., Random Forest). Serve as a subject matter expert for strategic surveillance design and methodology assessment. - Data Science & Engineering Collaboration:
Work closely with Information Technology teams to coordinate tool enhancements, debug issues, and ensure successful implementation of surveillance solutions. Assess and adapt new trends and methodologies in data science for ongoing improvements. - Stakeholder Engagement:
Collaborate across the first and second lines of defense to escalate findings and determine resolutions. Interact with global counterparts to maintain consistency in the surveillance portfolio governance. - Requirements Documentation:
Contribute to drafting Business Requirement Documents (BRDs) and other technical specifications that support surveillance improvements. Ensure documentation is clear, comprehensive, and traceable. - Compliance Monitoring & Risk Oversight:
Support monitoring and adherence to compliance risk policies and procedures. Assist in the preparation of compliance-related materials, participate in regulatory exams, and stay abreast of changes in policies and regulations. - Leadership & Mentoring:
Lead and mentor junior data scientists on surveillance projects. Support ongoing knowledge transfer and foster a collaborative learning environment. - Continuous Improvement:
Identify and implement improvements to surveillance techniques, risk detection mechanisms, and internal processes. Propose innovations in modeling, data integration, and compliance monitoring capabilities.
Skills and Qualifications
- Strong experience in machine learning, statistical modeling, and natural language processing
- Proficiency in Python, Scala, TensorFlow, and big data/cloud platforms
- Deep knowledge of surveillance systems, compliance risks, and regulatory environments
- Experience in drafting BRDs, working with regulatory bodies, and handling complex data scenarios
- Strong communication, analytical, and stakeholder management skills
- Ability to work independently and collaboratively in a cross-functional team
- Bachelor’s degree required; advanced degrees preferred in data science, computer science, or related fields
Certifications (Preferred)
- Certified Data Scientist (CDS)
- Certified Analytics Professional (CAP)
- Relevant compliance certifications (e.g., CAMS, CRCM)
- Machine Learning or NLP Specializations
