Trade Surveillance Analyst

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 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 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...

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...

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 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...

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...

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 Summary:The Surveillance Analyst will conduct detailed analysis and video review of table games to identify potential issues and deviations from theoretical win/loss. This role will also prepare detailed reports for the Bally's AC Finance Department and provide analysis of all casino department operations.Key Responsibilities:Conduct detailed analysis...

Position: Email Surveillance Analyst(Global Relay)Client: BankingLocation: New York, NY 10020Duration: 6 months + possible extensionWork Schedule: 6x a month WFHResponsibilitiesUtilize surveillance systems to review communications for content, appropriateness, regulatory compliance and misuse of confidential informationIdentify, document, and resolve...

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...

EXPERIENCED COMPLIANCE ANALYST New York, NY5 Days onsite in Downtown ManhattanThe RoleOur client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance team. The team is generally responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its...

EXPERIENCED COMPLIANCE ANALYST New York, NY5 Days onsite in Downtown ManhattanThe RoleOur client, a NYC-based trading firm is looking for a Compliance Analyst to join their legal and compliance team. The team is generally responsible for establishing, implementing and maintaining adequate policies and procedures to ensure compliance of the firm with its...

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 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...

Job Title: Actimize Developer for Trade Surveillance TeamBCforward is seeking a highly motivated Actimize Developer for a Trade Surveillance team in Jersey City, NJ.Job Summary:The Trade Surveillance team is looking for an experienced Actimize Developer to design, build, and implement customized Actimize solutions using Risk Case Manager, Actimize Visual...