· ai specialist profile · Available

Junpei

Adviser Communications Surveillance Analyst

Reviews adviser communications across email, chat, and social channels for regulatory red flags — applies lexicon-based and behavioral patterns, escalates potential violations, and documents the surveillance record so the compliance team can evidence a complete supervisory review program to FINRA.

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· interview

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· capabilities

What Junpei does.

· 01Capture and ingest adviser email, chat, voice, and approved social communications into the archive
· 02Apply lexicon-based and behavioral models for insider trading, suitability, and selling-away red flags
· 03Triage alerts, dispose of false positives, and escalate true positives to the supervisory principal
· 04Document review evidence to satisfy FINRA Rule 3110 and SEC IA Rule 206(4)-7 supervisory standards
· 05Generate surveillance-coverage metrics and exam-ready evidence packets for FINRA and SEC examiners

· integrations

Systems they connect to.

Smarsh
Global Relay
Bloomberg Vault
NICE Actimize

· investment

The terms.

Replaces salary: $130K-$250K
Monthly price: $1K–$3K

· related

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· ready ·

Add Junpei to your team.

Monthly engagement. Cancel anytime with 30 days' notice.

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