Current jobs related to Employee Personal Account Surveillance - New York - Phyton Talent Advisors

  • Surveillance Director

    1 month ago

    New York, United States Public Health Solutions Full time

    Job Title: Surveillance DirectorPublic Health Solutions is seeking a highly skilled and experienced Surveillance Director to join our team. As a key member of our organization, you will be responsible for providing strategic leadership to our surveillance unit, overseeing a large portfolio of surveillance system applications, and fostering cross-bureau...

  • Surveillance Specialist

    2 weeks ago

    New York, New York, United States Caesars Entertainment Full time

    Caesars Entertainment **Job Summary** We are seeking a skilled Surveillance Officer to join our team at Harrah's Atlantic City. As a Surveillance Officer, you will be responsible for conducting clandestine surveillance of all operations in and around the property, observing games, guests, and employees to protect company assets, and conducting extensive...

  • Market Surveillance Specialist

    7 days ago

    New York, New York, United States OKX Full time

    About the RoleOKX is seeking a skilled Market Surveillance Specialist to join our Compliance team. As a key member of our team, you will be responsible for monitoring market surveillance activity and identifying potential market abuse.Key Responsibilities Monitor market surveillance activity using industry-leading tools and platforms Act as a subject matter...

  • Surveillance Analyst

    6 days ago

    New York, New York, United States Bally's Corporation Full time

    Job Summary:As a Surveillance Analyst at Bally's Corporation, you will be responsible for conducting detailed analysis and video review of table games. Your primary goal will be to prepare detailed reports for the Bally's AC Finance Department, highlighting deviations from theoretical win/loss. Additionally, you will provide analysis of all casino department...

  • Surveillance Investigator

    3 weeks ago

    New York, New York, United States Allied Universal Full time

    Advance Your Career in Insurance Claims with Allied UniversalAt Allied Universal, we're committed to innovation and excellence in the insurance industry. As a global leader in compliance and investigation services, we offer dynamic opportunities for claim investigators, SIU investigators, and surveillance investigators. Our diverse and inclusive team is...

  • Surveillance Officer-On-Call

    2 weeks ago

    New York, New York, United States Caesars Entertainment Full time

    Surveillance Officer Role at Caesars EntertainmentAs a Surveillance Officer at Caesars Entertainment, you will be responsible for conducting covert surveillance of all operations within and around the property. This includes observing games, guests, and employees to protect the company's assets.Key Responsibilities:Conduct extensive investigations and...

  • Market Surveillance Specialist

    2 weeks ago

    New York, New York, United States OKX Full time

    About the RoleAt OKX, we're committed to shaping a fairer, more transparent, and accessible society through blockchain technology. As a key member of our Compliance team, you'll play a vital role in ensuring our company's regulatory obligations are met.Key ResponsibilitiesMonitor market surveillance activity using industry-leading tools and platforms.Act as...

  • Surveillance Officer

    6 days ago

    New York, New York, United States Bally's Corporation Full time

    Key Responsibilities:Guest Service: Provide exceptional service to internal guests, responding to their needs in a friendly, respectful, and understandable manner.Communication: Communicate effectively with guests, colleagues, and other departments, using outlined service behaviors to ensure a positive experience.Surveillance: Maintain surveillance on...

  • Trade Surveillance Project Manager

    2 weeks ago

    New York, New York, United States Innova Solutions Full time

    Job Title: Trade Surveillance Project ManagerInnova Solutions is seeking a highly skilled Trade Surveillance Project Manager to join our team. As a Trade Surveillance Project Manager, you will be responsible for leading the implementation of strategic trade surveillance monitoring platforms and tools globally.Key Responsibilities:Establish a robust...

  • E-Communications Surveillance Analyst

    2 weeks ago

    New York, New York, United States OKX Full time

    About the OpportunityThe successful candidate will have prior e-communications monitoring experience in the financial services industry. They will work closely with the e-Communications Monitoring Manager and other Market Surveillance team members to develop an e-communications surveillance program, create lexicons, establish rules/parameters, monitor...

  • AVP, Compliance Officer

    6 days ago

    New York, New York, United States Jefferies Financial Group Full time

    Job Title: AVP, Compliance Officer - Trade Surveillance ExpertJob Summary:We are seeking an experienced Compliance Surveillance Professional to join our team as an AVP, Compliance Officer - Trade Surveillance Expert. In this role, you will be responsible for leading our trade surveillance program, ensuring compliance with regulatory requirements, and driving...

  • Compliance Analyst, Market Surveillance Specialist

    2 weeks ago

    New York, New York, United States OKX Full time

    {"title": "Market Surveillance and Compliance Specialist", "description": "About the OpportunityOKX is seeking a highly skilled Market Surveillance and Compliance Specialist to join our Compliance Advisory team. As a key member of our team, you will be responsible for monitoring market surveillance activity, identifying and reporting on attempts by clients...

  • Surveillance Officer, Night Shift

    1 week ago

    New Orleans, Louisiana, United States Caesars Entertainment Full time

    Surveillance Agent Role at Caesars EntertainmentAs a Surveillance Agent with Caesars Entertainment, you will be responsible for maintaining surveillance on designated areas and activities. This includes recording irregular activity as required and operating all surveillance equipment, including DVRs, monitors, switches, computers, controllers, and cameras as...

  • Surveillance Officer

    4 weeks ago

    New York, New York, United States Caesars Entertainment Full time

    Job SummaryWe are seeking a highly skilled Surveillance Officer to join our team at Caesars Entertainment. As a Surveillance Officer, you will be responsible for maintaining surveillance on designated areas and activities, recording any irregular activity, and participating in the supervision, operation, and/or support of our multi-casino Bad Beat system.Key...

  • Surveillance Officer

    4 weeks ago

    New York, New York, United States Caesars Entertainment Full time

    Job SummaryWe are seeking a skilled Surveillance Officer to join our team at Caesars Entertainment. As a Surveillance Officer, you will be responsible for maintaining surveillance on designated areas and activities, recording any irregular activity as required, and participating in the supervision, operation, and/or support of our multi-casino Bad Beat...

  • Head of Compliance, Trade Surveillance and Communications, TDS

    6 days ago

    New York, New York, United States TD Bank Full time

    Job Title: Head of Compliance, Trade Surveillance and Communications, TDSJob Summary:The Head of Compliance, Trade Surveillance and Communications, TDS will lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for market abuse and electronic communications for their respective regional lines of...

  • CIB Electronic Communication Surveillance Specialist

    4 weeks ago

    New York, New York, United States Wells Fargo Full time

    About this RoleWells Fargo is seeking a highly skilled professional to join our team as a Lead Business Accountability Specialist - Electronic Communication Surveillance Specialist. This exciting opportunity is part of our Corporate and Investment Banking (CIB) division, where you will play a key role in developing, calibrating, and implementing risk...

  • Experienced Surveillance Investigator

    7 days ago

    New Haven, Connecticut, United States Command Investigations Full time

    Job OpportunityWe are seeking a highly skilled and experienced Surveillance Investigator to join our team at Command Investigations.The ideal candidate will possess a strong background in surveillance and investigation, with the ability to conduct thorough and accurate investigations in a fast-paced environment.Key Responsibilities:Conduct surveillance and...

  • Surveillance Agent, Night Shift

    2 weeks ago

    New Orleans, Louisiana, United States Caesars Entertainment Full time

    Job Title: Surveillance Agent, Night ShiftCaesars Entertainment is seeking a highly skilled Surveillance Agent to join our team at Caesars New Orleans Casino & Hotel. As a Surveillance Agent, you will play a critical role in ensuring the safety and security of our guests and team members.Key Responsibilities:Monitor CCTV cameras and video management software...

  • Market Surveillance Analyst

    4 weeks ago

    New York, New York, United States TP ICAP Full time

    Job Summary:The TP ICAP Group is a world-leading provider of market infrastructure, and we are seeking a skilled Market Surveillance Analyst to join our team. As a key member of our team, you will be responsible for monitoring and analyzing market activity to ensure compliance with regulatory requirements.Key Responsibilities:• Monitor and analyze market...

Employee Personal Account Surveillance

2 months ago

New York, United States Phyton Talent Advisors Full time

Our client a top tier financial services firm is seeking an experienced Employee Personal Account Surveillance Specialist to join our team in New York City. The successful candidate will be responsible for overseeing the monitoring and management of employee brokerage accounts, conducting trading surveillance, and ensuring compliance with insider trading regulations. This role requires a highly organized, detail-oriented professional with a deep understanding of regulatory frameworks and the ability to work autonomously in a fast-paced environment.


Key Responsibilities:

- Employee Brokerage Account Management:

- Oversee and manage the onboarding and monitoring of employee brokerage accounts.

- Ensure timely follow-up on account disclosures, establish and remove accounts from electronic data feeds, and maintain continuous receipt of brokerage feeds.

- Track and review non-feeding accounts or those in transition, ensuring accurate and up-to-date records.


- Trading Surveillance:

- Conduct surveillance on personal employee trading, employees brought over the wall, and firm trading related to watch and restricted lists.

- Prepare and analyze trading data for Key Risk reporting and respond to Internal Audit requests as needed.

- Maintain and analyze trading data, performing and developing surveillance reviews to ensure compliance with regulatory standards.


- Policy Guidance & Risk Assessment:

- Maintain the shared email inbox, providing timely and accurate Policy guidance to employees, vendors, and business partners.

- Assess Public/Private access requirements to ensure adherence to regulatory requirements.

- Participate in ad-hoc requests, special projects, and regulatory exams as directed by compliance or legal departments.


- Autonomous Decision-Making:

- Operate with limited supervision, exercising independent judgment and autonomy in decision-making processes.

- Appropriately assess risks when making business decisions, ensuring the firm’s reputation is safeguarded by adhering to applicable laws, rules, and regulations.

- Act as a Subject Matter Expert (SME) to senior stakeholders and other team members, providing insights and guidance on compliance-related matters.


Qualifications:

Experience & Knowledge:

- 7+ years of experience in compliance within a U.S. financial institution or broker-dealer, with a focus on insider trading monitoring and information barriers.

- General knowledge of insider trading laws, rules, regulations, and associated risks.

- Demonstrated expertise in project management, with the ability to handle multiple projects simultaneously and prioritize effectively.


Skills:

- Strong research and analytical skills, with the ability to synthesize complex data and provide actionable insights.

- Excellent written and verbal communication skills, with the ability to convey complex information clearly and concisely.

- Self-starter with a flexible, innovative, and adaptive approach to work.

- Proven interpersonal skills, with the ability to collaborate effectively at all levels of the organization.


Technical Proficiency:

- Proficient in MS Office applications (Excel, Word, PowerPoint).

- Advanced ability to leverage technology in a compliance setting to enhance operational efficiency.


Education & Certifications:

- Bachelor’s degree required, preferably in Finance, Business, or a related field.

- Advanced degree and/or FINRA licenses preferred.

- Experience in a financial services firm, regulatory organization, or legal/consulting firm is highly desirable.


Location:

This position is based in our New York City office, offering a dynamic work environment with opportunities for professional growth and development.