Compliance Officer
$125k - $175kPhaxis
Compliance Surveillance Analyst
High frequency trading firm is seeking a Compliance Surveillance Analyst to join their Compliance team. This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, and working with business and technology partners to drive enhancements in surveillance processes. The ideal candidate is analytical, self-driven, and eager to contribute to a fast-paced, collaborative environment.
Responsibilities
Design and execute surveillance and supervisory reviews across a wide range of business activities and asset classes.
Partner with the Compliance Inquiry team to investigate findings and coordinate follow-ups on potential regulatory or internal policy breaches.
Collaborate with business, legal, and technology teams to escalate and remediate issues uncovered through surveillance.
Lead and support initiatives focused on automation, analytics, and process optimization within compliance surveillance functions.
Qualifications
Bachelor's Degree or equivalent professional experience in Finance, Business, Economics, or a related field preferred.
2+ years of relevant experience in a financial services firm, FinTech, regulatory agency, or broker-dealer environment.
Strong understanding of broker-dealer regulations, including SEC, Client, CFTC, and other SRO rules.
Experience reviewing and analyzing trading activity in one or more asset classes such as equities, options, fixed income, FX, futures, commodities, swaps.
Base Salary - $125,000-$175,000 depending on experience
Vacancy posted 2 days ago
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