Senior Trade Surveillance & Compliance Leader
$150k - $200kAtlas Search
Atlas Search is seeking a Senior Trade Surveillance Officer based in New York to join its Legal & Compliance function. This role will focus on overseeing the firm’s trade compliance and surveillance, supporting trading teams while ensuring key compliance standards across various asset classes. The successful candidate will leverage at least 6 years of experience in compliance, demonstrating strong analytical skills and excellent communication. The position offers a competitive salary between $150,000 to $200,000 annually, along with potential bonus eligibility. #J-18808-Ljbffr Atlas Search
$125k - $175k
Marex Group is seeking a Surveillance Compliance Officer for their New York office. This role focuses on Trade Surveillance across multiple asset classes, ensuring compliance with regulatory requirements. Responsibilities include reviewing trade alerts, producing metrics...SurveillanceSeniorWork at office$125k - $175k
Rex Technologies GmbH is seeking a Surveillance Compliance Officer in New York to provide Trade Surveillance and ensure compliance with SEC, FINRA, and other regulations. The role involves reviewing alerts, producing metrics, and collaborating with compliance teams. With...SurveillanceSenior- Obsidian is seeking experienced Trade Surveillance Experts to support the development and evaluation of advanced AI systems for markets compliance and detection of market abuse. In this role, you will leverage your expertise in trade surveillance and regulatory compliance...SurveillanceSenior
$150k - $200k
...client is a global, multi-strategy investment management firm headquartered in New York City, seeking a Senior Trade Surveillance Officer to join its Legal & Compliance function. This is a highly visible role supporting front-office trading teams while owning key...SurveillanceSeniorWork experience placement- Capital One in New York is looking for a Trade Surveillance Principal Associate to enhance the Commercial Banking market conduct surveillance... ...surveillance, analysis of trading activities, and ensuring compliance with SEC, FINRA, and CFTC regulations. The ideal candidate...SurveillanceSenior
- ...Compliance Officer | SEC Registered Investment Adviser / Hedge Fund... ...conflicts of interest, personal trading, outside business activities... ...guidance to business leaders and employees on regulatory... ...such as wall crossings, trade surveillance, and monitoring activities Prepare...SurveillanceSenior
- ...Responsibilities Manage day-to-day operations of the compliance program, including maintaining policies... ...of Ethics program, including personal trading, holdings certifications, and periodic... ...Conduct ongoing communications surveillance and escalate issues as needed...SurveillanceSenior
- ...Vice President, Senior Compliance Officer, Monitoring & Compliance Oversight About the Company... ...with broad exposure to compliance, surveillance, and risk functions. Industry Financial... ...products, market structure, and trading behaviors. Familiarity with trade and...SurveillanceSenior
$125k - $175k
...energy and agricultural products, executing around 50 million trades and clearing 205 million contracts in 2022. The Group... ...information visit ( Purpose of Role: Marex is recruiting for a Surveillance Compliance officer to join the team our at our New York office. The...SurveillanceSeniorFull timeWork at officeImmediate start- ...Compliance Associate (New York, NY): Our client, the asset management... ...such as wall crosses, trade requests, conflict checks, ad... ...internal compliance testing and surveillance program, as well as prepare... ...scopes Job Reference #2979397 Seniority level Seniority level...SurveillanceSeniorFull time
- ...global financial services firm seeking a Senior Equities Compliance Officer to provide regulatory advisory support to its equities trading and sales businesses. This role sits... ...activities, and strategic initiatives Enhance surveillance, monitoring, and testing programs to...SurveillanceSenior
- ...motivated individual to join our team as a Senior Fixed Income Compliance Officer. In this role the individual... ...to the firm’s fixed income trading and sales teams. The role ensures that... ...stakeholders, manage regulatory risk, support surveillance and control frameworks, and...SurveillanceSenior
$171k - $260k
...technology products. As a Senior Lead Software Engineer at JPMorgan... ...'s Equities Electronic Trading team, you are an integral part... ...for Automation, Monitoring and Surveillance Advanced knowledge of... ...200 years and today we are a leader in investment banking, consumer...SurveillanceSenior$120k - $175k
Senior Compliance Associate, Registered Funds (New York, NY): Our client, a leading diversified asset management firm with over $50B in... ..., and board reporting. Conduct ongoing portfolio and trade surveillance to ensure adherence to regulatory requirements, client mandates...SurveillanceSenior- ...The Office of the CCO is an Advisory Compliance function that supports the Americas region... ...financial risk. About the role: The Senior Compliance Officer position assists... ...standards and requirements, Board reporting, trade surveillance, policy and procedure review, and...SurveillanceSeniorFull timePart timeWork at officeFlexible hours
- ...Senior Technical Business Analyst Location: Manhattan, NYC (Fully... ...operational controls and surveillance capabilities to enhance the firm... ...team supports the Risk and Compliance divisions with tools and applications... ...gracefully. Experience in trade lifecycles and asset classes,...SurveillanceSeniorWork experience placement
- Un leader bancaire à New York cherche un responsable pour superviser les opérations de trading électronique. Vous jouerez un rôle clé en offrant des conseils et en développant des procédures pour soutenir les activités de trading. Le candidat idéal aura plus de 15 ans d...Senior
- Compliance - Senior Compliance Officer - New Jersey New Jersey About us: Founded in 2015, B2C2 is a global leader for institutional liquidity within digital assets. We bring 24/7 3... ...KYC), Anti‑Money Laundering (AML), trade surveillance, sanctions for our growing US...SurveillanceSeniorLocal areaShift work
- Ernst & Young Oman is looking for a Senior in Global Trade to manage the design and delivery of trade automation solutions using Thomson Reuters OSGT. This role involves collaborating with clients and project teams across various industries, ensuring high-quality deliverables...Senior
$200k - $300k
Citi is seeking a Senior Trader to lead funding strategy and capital control in New York. This role demands overseeing a trading book above $150 billion and ensuring compliance with complex liquidity and capital regulatory metrics. Ideal candidates require over 10 years...Senior- RH is seeking a Residential Trade Leader in New York to grow and lead the interior design trade business within our Gallery. This role demands a keen sense of style, polished appearance, and a refined taste for luxury. The ideal candidate will inspire a team while delivering...Senior
- ...Head of Compliance, Trade Surveillance and Communications About the Company Premier broker dealer Industry Insurance Type Privately Held About the Role The Company is seeking a Head of Compliance for Trade Surveillance and Communications. The successful...Surveillance
- ...Services Group, Inc. is seeking a FINRA Supervision Specialist to oversee supervisory and trade review of Financial Advisors across various locations. This role supports compliance and risk management goals while promoting a culture of regulatory excellence. The ideal...Surveillance
- An established industry player is seeking a Trade Surveillance Analyst to enhance their compliance efforts. This role involves analyzing regulatory trends, designing surveillance patterns, and coordinating with Compliance and Front Office teams. You will be responsible...Surveillance
- SGS Société Générale de Surveillance SA is seeking a professional to develop new Equity Prime Brokerage business within the US Prime Services... ...Brokerage experience and a deep understanding of tactical trading strategies. The position offers a hybrid work arrangement allowing...SurveillanceSeniorRemote work
- Intesa Sanpaolo Group in New York seeks a Regulatory and Corporate Compliance Officer VicePresident to lead RCC activities, including... ...the Watch/Restricted List, reviewing transactions and employee trading for conflicts, and ensuring policy adherence. You will report...SurveillanceLocal area
- Daiwa-Securities-Group, based in New York City, is hiring a Trading and Surveillance Compliance Specialist. This role involves monitoring trading activities, ensuring regulatory compliance and improving trade surveillance operations. The ideal candidate will hold a Bachelor...Surveillance
- NYC Department of Health and Mental Hygiene is seeking a Senior Epidemiologist for the Bureau of Alcohol and Drug Use to oversee real-time surveillance and data stewardship across syndromic surveillance, EMS, and mortality data sources. The role includes managing large...SurveillanceSeniorWork at office
- ...Vice President, Trading Surveillance Compliance About the Company Digitally-driven brokerage & wealth management platform Industry Financial Services Type Public Company Employees 51-200 About the Role The Company is seeking a Vice President...Surveillance
- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalauré...SurveillanceSeniorRemote job
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