VP Compliance Surveillance Officer | Global Markets

New York-Based An opportunity to join the surveillance function of a global markets infrastructure business, covering trade and communications surveillance across a broad multi-asset footprint. Our client is a leading international financial services group with significant market share both on and off exchange. Operating across cash equities, fixed income, commodities and derivatives, the business provides technology-led access to major global exchanges, alongside award-winning data, insights and analytics. The compliance function sits at the heart of the business, acting as both the guardian of a strong compliance culture and the bridge between the firm and its regulators. This role focuses primarily on trade surveillance, covering trade activity and communications across multiple exchanges, trading platforms and venues, with genuine scope to broaden into wider compliance activity over time. Key Responsibilities Providing trade surveillance, e-communications and voice review services Reviewing alerts in a timely manner and maintaining queues within agreed guidelines Using surveillance tooling and technical expertise to determine true and false positives, documenting rationale clearly Seeking clarifying information from traders and clients where appropriate Escalating potential true positives to management with full supporting documentation Notifying supervisors or clients of confirmed true positives and following up on open issues Producing surveillance metrics for the Head of US Surveillance, broken down by date, business line, desk, alert type, client and trader Testing trade data and systems to ensure quality and completeness of surveillance inputs Suggesting enhancements that increase true positive discovery, reclassify false negatives and reduce false positive volumes Carrying out calibration testing and documented UAT review of new and existing scenarios Providing surveillance expertise and context to broker-dealer and advisory compliance colleagues Supporting compliance with SEC, FINRA, NFA, CFTC and applicable exchange requirements Experience Required Degree in finance, economics, business or a related discipline Existing surveillance experience within a financial markets environment Excellent understanding of financial markets across multiple asset classes Experience working in a regulated environment with a clear grasp of the associated risk and compliance requirements Exposure to AI-driven solutions for surveillance or compliance Strong data analysis and interpretation skills Excellent written and verbal communication, with the ability to work across geographies, business lines and seniority levels Well organised, self-starting and comfortable managing multiple deliverables end to end Curiosity, resilience and the integrity to make sound judgement calls in a fast-paced setting Base salary of $125,000 to $175,000 per year, plus eligibility for a discretionary bonus. This is a strong opportunity for a surveillance professional to build depth across multiple asset classes and business lines while gaining exposure to a wider compliance remit at a genuinely global firm. #J-18808-Ljbffr Coopman Search and Selection | B Corp™