Trade Surveillance Officer

A global, alternative asset manager is seeking a Trade Surveillance Officer to join their compliance team in NYC for a hybrid role leading their trade monitoring and market surveillance. This opportunity will report to senior leadership on the compliance team and will work directly with the traders and the front office on all issues surrounding trade...

A global, alternative asset manager is seeking a Trade Surveillance Officer to join their compliance team in NYC for a hybrid role leading their trade monitoring and market surveillance. This opportunity will report to senior leadership on the compliance team and will work directly with the traders and the front office on all issues surrounding trade...

A global, alternative asset manager is seeking a Trade Surveillance Officer to join their compliance team in NYC for a hybrid role leading their trade monitoring and market surveillance. This opportunity will report to senior leadership on the compliance team and will work directly with the traders and the front office on all issues surrounding trade...

Larson Maddox is seeking a Trade Surveillance Officer to lead their trade monitoring and market surveillance in NYC. This role will report to senior leadership on the compliance team and work directly with traders and the front office on trade compliance and monitoring.Key Responsibilities:Develop and implement trade surveillance policies and...

Our client, a NYC-based trading firm is looking for a Trade Surveillance Analyst.The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.In this position, tasks will primarily include surveillance and monitoring of trading activity,...

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...

Our client, a NYC-based trading firm is looking for a Trade Surveillance Analyst.The team is charged with establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its legal and regulatory obligations.In this position, tasks will primarily include surveillance and monitoring of trading activity,...

A leading full-service financial services firm is looking to bring on a Surveillance Associate to the Compliance Team to provide regulatory support to the equity trading desk. This firm receives consistent global recognition for its wealth management arm and ESG investment strategy. Title: Surveillance Associate Location: New York City (hybrid on-site)...

A leading full-service financial services firm is looking to bring on a Surveillance Associate to the Compliance Team to provide regulatory support to the equity trading desk. This firm receives consistent global recognition for its wealth management arm and ESG investment strategy. Title: Surveillance AssociateLocation: New York City (hybrid on-site)Salary:...

Our client a well known Investment Bank is seeking a Compliance Surveillance Analyst in their New York, New York Location! Job DescriptionCompliance Surveillance Analyst Essential Duties & Responsibilities:Maintain and monitor employee brokerage accounts. Timely follow-up with onboarding users, account disclosures and brokerage firms, to establish or remove...

Job OverviewAs an Audit Supervisor, you will play a key role in ensuring the integrity of our Global Markets Trade Surveillance operations. Your expertise will be instrumental in designing and executing audit tests, assessing business impact, and recommending severity ratings.Key Responsibilities:Develop and execute audit strategies to ensure the sound...

Our client, a leading investment bank, is seeking a skilled Market Surveillance Specialist to join their team. The ideal candidate will have a strong background in fixed income surveillance and advisory, with a comprehensive understanding of market structure, sales and trading best practices, and TRACE reporting.Key Responsibilities:Support the management of...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

A leading full-service financial services firm is looking to bring on a Surveillance Associate to the Compliance Team to provide regulatory support to the equity trading desk. This firm receives consistent global recognition for its wealth management arm and ESG investment strategy. Title: Surveillance AssociateLocation: New York City (hybrid on-site)Salary:...

Our client a well known Investment Bank is seeking a Compliance Surveillance Analyst in their New York, New York Location! Job DescriptionCompliance Surveillance Analyst Essential Duties & Responsibilities:Maintain and monitor employee brokerage accounts. Timely follow-up with onboarding users, account disclosures and brokerage firms, to establish or remove...

Our client a well known Investment Bank is seeking a Compliance Surveillance Analyst in their New York, New York Location! Job DescriptionCompliance Surveillance Analyst Essential Duties & Responsibilities:Maintain and monitor employee brokerage accounts. Timely follow-up with onboarding users, account disclosures and brokerage firms, to establish or remove...

Title : Program management and reporting / data visualizationLocation: New York, New York (Hybrid)Duration : 12 months Job Description: Program management and reporting / data visualizationTrade Surveillance Program ManagerAutomate Surveillance Risk Assessment. product manager / pm to help them automate their risk assessment process for surveillance, to...

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...

Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

Job OverviewOppenheimer & Co. Inc. is seeking a Surveillance Analyst to support the daily functions of the Compliance department in New York.Key Responsibilities:Analyze current business processes and systems to identify areas for improvementMonitor customer trading activity for suitability via surveillance alerts and reportsReview Financial Advisors, Branch...