Compliance Officer: Front Office Trading & Surveillance NY
Mondrian Alpha
Mondrian Alpha is seeking a Compliance Officer in New York to support trading and advisory activities across asset classes. You will report to the Head of the team and interact with the front office, providing guidance on compliance matters and trade surveillance. This 3-5 year professional will step into a hands-on position within a world-class hedge fund, with strong progression opportunities and a high-performance culture. #J-18808-Ljbffr Mondrian Alpha
$130k
The VP, Compliance Officer will play a crucial role in offering real-time advice and guidance to the trading and sales teams, ensuring the firm's activities... ...with fixed-income trade surveillance and regulatory... ...effective collaboration with front-office personnel.Starting...SurveillanceFront officeTemporary workWork at officeImmediate start- ...detects and mitigates compliance, regulatory and reputational... ..., sales, and trading. We look for those who... ...escalations from daily trade surveillance reports SKILLS AND... ...advanced skills with MS Office (Excel, PowerPoint,... ...well with people in the front office and support...SurveillanceFront officeWork experience placementFlexible hours
- ...to join our team as a Senior Compliance Officer. In this role, the... ...oversight to the firm’s equities trading and sales teams. The role ensures... ...will partner closely with front‑office stakeholders, manage regulatory risk, support surveillance and control frameworks, and...SurveillanceFront office
$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ...who support global investment and trading activities by establishing and... ...advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success...SurveillanceWork experience placement$70k - $80k
Nomura Holdings, Inc. in New York, NY seeks an Analyst to join the Rates Derivatives Middle Office, providing trading support for swaps and options desks. You will... ...P&L figures, and handle inquiries from front office, risk, compliance, and finance. The role requires 1+ year...Front officeWork at office- ...that is looking to add an experienced Trading Compliance Advisory professional to its growing... ...York. About the Role This is a genuine front-office advisory role, working closely with... ...strategies, products and technology Trade surveillance, regulatory change and control room...SurveillanceFront officeWork at office
- ...dealer is seeking an experienced Senior Compliance Officer to support the firm's compliance... ...listed options, futures, and electronic trading . This role partners closely with Trading... ...developments. Support trade surveillance, algorithmic trading governance, best...Surveillance
$150k - $185k
...Role Marex is seeking a Broker‑Dealer Compliance Advisor who is a subject matter expert... ...background in Equities and Listed Options trading activities, as well as knowledge of... ...Provide compliance advisory support to front‑office teams across day‑to‑day business activities...Front officeImmediate start$80k - $100k
...Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading. Title: Compliance Analyst Location: New York, NY or Greenwich/Norwalk, CT Desired Years of... .... Assist with communications and trade surveillance. Assist with the preparation of periodic...Surveillance- ...RoleOne of the top FinTechs in the world is looking to hire senior Front Office C# Quant Devs to join a new Front Office Pricing team. You... ...underpins the entire firm, providing live risk and P&L, pre-trade pricing and scenario analysis.This is an opportunity to join one...Front office
$111k - $140k
Compliance Associate, Market Surveillance New York City, NY Who are we? FalconX is a pioneering team of operators, investors... ...and services that support trading strategies, structures, and liquidity... ...wash trading, spoofing, layering, front-running, and insider trading....SurveillanceContract workLocal areaShift work$290k - $335k
...managers. With more than 40 offices worldwide, the group... ...financial landscape, Compliance has become... ...Income, Listed Options trading activities as well as... ...programs, including trade surveillance, regulatory reporting,... ...senior management and front-office leaders ~ Proven...SurveillanceFront officeFull timeWorldwide$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ...who support global investment and trading activities by establishing and... ...advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s success...SurveillanceWork experience placement- ...seeking a junior to mid-level Compliance Officer to provide real-time advice and support to front office personnel in a fast paced... ...-time advice and guidance to trading and sales force on regulatory... ...Conduct electronic communications surveillance and trade reconstructions....SurveillanceFront officeFull timeWork at office
- Sharp Decisions in New York, NY seeks a data analytics professional for a 12-month Front Office data management contract. You will... ...dashboards for portfolio surveillance and management reporting, automate... ...solutions in a fast-paced trading or portfolio environment. #J-...SurveillanceFront officeContract work
- ...as the primary point of contact for NYC-based trading and technology clients, building deep relationships with front office fixed income desks, eTrading teams, and infrastructure... ...for scaling low-latency data needs across the NY trading environment. Represent customer needs...Front office
- ...- 10 Months Location: New York, NY Job Description: Transversal... ...the overall Global Banking Americas', front office Compliance Risk and Control Assessment Program in... ...related key risk indicators, and key surveillance points. Review the operational risk...SurveillanceFront officePermanent employmentLocal area
- TD Securities in New York, NY seeks an experienced Trade Surveillance Lead to oversee information barrier surveillance... ..., MNPI monitoring and regulatory compliance for US markets. The role requires... ...professionals, collaborates with front office, technology and operations, and...SurveillanceFront office
- ...in Asia Pacific, Middle East and Europe region. With a strong, Front to Back expertise of cash and derivatives markets, coupled by... ...efficient solutions. We are seeking highly-motivated Murex Front Office Trading Consultants to be based in New York with good knowledge and...Front officeWork experience placement
- Neuberger is seeking an Analyst to join the Compliance Team in New York. The role focuses on surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program. You will review surveillance reports, provide...Surveillance
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting...Surveillance
$100k - $200k
Our client is a private equity firm. They seek a Compliance Officer to join their Manhattan, NY office.ResponsibilitiesCoordinate monthly compliance testing... ...employee compliance processes, including personal trading reviews, certifications, and pre-clearance requestsMonitor...Work at office$100k - $120k
Overview A Career with Point72’s Compliance Department The Point72 Compliance department... ...professionals that supports global investment and trading activities by establishing and... ..., and conducting pre and post trade surveillance. Our team is essential to the success of...SurveillanceWork experience placement$150k - $200k
...The Investment Banking Compliance Officer you will serve as a... ...Banking . You'll bridge front-office strategy with regulatory... ...with Sales & Trading, Investment Banking, Legal... ...and Restricted List surveillance reports to identify... ...000 for the New York, NY market based on experience...SurveillanceFront officeFull time$130k - $150k
...through active research and trading of securities in their separately... ..., human resources, and compliance. About the Firm: Founded in... ...processes. Employee Activity Surveillance: Conduct routine monitoring,... ...Assist the Chief Compliance Officer (CCO) with implementing the...Surveillance$120k - $160k
...institutions, and proprietary trading firms. RQD Clearing is proud to... ...Series B round of funding. AML Compliance Officer Experience: 5+ Years Location: New York, NY (Hybrid) Reporting To: Chief Compliance... ...reviews such as wire and ACH surveillance activity exception reports...SurveillanceImmediate startFlexible hours$140k - $219.7k
...committed to an in-office culture with specific... ...interface with the Front Office managers and... ...to various Traded Products (Derivatives... ...Management Monitoring, Surveillance, and Testing Regulatory Compliance Technical Documentation... ...details US - NY - New York - ONE BRYANT...SurveillanceFront officeWork at officeFlexible hoursShift workDay shift$125k - $145k
...discretionary bonus. Location Manhattan, NY. The team works at the Midtown office at least three days per week.... ...and Responsibilities Support the front office to perform analysis and... ...transactions and establish post‑closing surveillance procedures. Manage fee invoicing...SurveillanceFront officeWork at officeImmediate start3 days per week- ...States seeks an Onboarding Associate to join the Underlying Principles onboarding team and collaborate with Front Office Sales/Trading, Credit, Legal, Compliance, Ops and external clients to onboard new clients efficiently. You will review submissions for funds and entities...Front office
$150k - $200k
...firm has grown to over 100 employees with offices around the globe. Roscommon is backed by... ...started with offices in New York and Houston, trading in the North American power and gas... ...performance and investor reporting Interact with front office traders on ad hoc requests. Liaise...Front officeWork at office
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