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Surveillance Compliance Officer

4 months ago

New York, United States Hamlyn Williams Full time

Surveillance Compliance Officer

New York, NY – Hybrid

Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer.


This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply.


As a Surveillance Compliance Officer, you will:

  • Prepare E-communications, Voice, and Trade Surveillance review services to US Broker-Dealer (BD) and FCM (futures commission merchant) business lines.
  • Use technical expertise and Surveillance toolset to make determinations on whether or not an alert is a true positive or false positive, closing false positives with proper documentation including explanatory reasoning.
  • Produce metrics on Surveillance reviews to the Head of US Surveillance
  • Test trade data and OMS/EMS systems to ensure the quality and completeness of data being input to the Surveillance tools.
  • Record UAT Review of new scenarios.
  • Provide Surveillance expertise to BD and FCM Advisory Compliance, adding context and counsel to the objective response.
  • Ensuring compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC and other applicable exchanges.


As a Surveillance Compliance Officer, you will need:

  • B.S. in Finance, Economics, Business, or other related field
  • Data analysis and interpretation skills.
  • Experience with Surveillance in the financial markets context
  • Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.

Our client offers generous compensation packages, as well as amazing benefits, PTO and great work-life balance.


Candidate’s must be US Citizen, Green Card holders or Permanent Residents to be considered.