Compliance Surveillance Analyst

As a Compliance Surveillance Analyst at AlphaSense, you will be crucial in supporting content generation while protecting clients from sensitive information. You will apply Tegus’ compliance program to review expert call transcripts, ensuring adherence to legal and regulatory standards. This fast-paced role requires agility to detect and resolve instances of material nonpublic and confidential information, conduct due diligence, and manage communications efficiently.

Must Have

• Serve as the first human layer of review for expert call transcripts to detect and resolve material nonpublic and confidential information.
• Complete due diligence review of each call, document violations, and escalate non-compliance.
• Conduct advanced research of financial reports and regulatory filings.
• Proactively manage internal and external communications.
• Perform administrative tasks, including inputting, tracking, and maintaining accurate data.
• Acute attention to detail and strong reading comprehension.
• Ability to effectively prioritize tasks, manage time, and remain highly organized.
• Ability to adapt quickly to changing priorities.

Good to Have

• 1-2 years of experience as a paralegal, legal assistant, compliance/financial/business analyst, or similar.
• Strong transferrable skills, such as research and analysis.

Perks & Benefits

• Performance-based bonus
• Equity
• Generous benefits program

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 6,000 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 any 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.