Trading Surveillance & Compliance Analyst
Phyton Talent Advisors
Phyton Talent Advisors in New York seeks a Compliance & Surveillance professional to monitor employee brokerage activity, manage data feeds, and conduct surveillance related to trading. You will coordinate disclosures, watchlists, and information barriers while supporting audits and regulatory exams. The role requires strong analytical skills, familiarity with insider trading laws, and the ability to work independently in a fast-paced environment. FINRA licenses are preferred but not required. #J-18808-Ljbffr Phyton Talent Advisors
- ...division prevents, detects and mitigates compliance, regulatory and reputational risk... ...backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound... ...handle escalations from daily trade surveillance reports SKILLS AND EXPERIENCE WE ARE LOOKING...SurveillanceWork experience placementFlexible hours
$80k - $100k
...Investing, Equity Long/Short & Capital Markets Trading, and Global Quantitative Trading. Title: Compliance Analyst Location: New York, NY or Greenwich/Norwalk, CT... ...activities. Assist with communications and trade surveillance. Assist with the preparation of periodic...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 - $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- ...for non-feeding accounts and accounts in transition. Conduct trading surveillance related to employee personal trading, employees brought... ...against watch lists and restricted lists and identify potential compliance concerns. Analyze trading data and perform and develop...SurveillanceWork at officeFlexible hours
$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$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$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 adhere to regulatory standards... ....Experience with fixed-income trade surveillance and regulatory initiatives.Working...SurveillanceTemporary workWork at officeImmediate start- 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... ...providing guidance on compliance matters and trade surveillance. This 3-5 year professional will step into a hands-...Surveillance
- Global investment management firm is seeking a compliance officer to join their dynamic team. Strong expertise with Trading Compliance is required, JD is a plus. They... ...solutions Build and enhance pre-trade and post-trade surveillance processes, including tuning alerts and...SurveillanceWork at office
- ...dealer is seeking an experienced Senior Compliance Officer to support the firm's... ...listed options, futures, and electronic trading . This role partners closely with Trading... ...regulatory developments. Support trade surveillance, algorithmic trading governance, best execution...Surveillance
$130k - $150k
...through active research and trading of securities in their separately... .... They are aided by analyst colleagues who scour the market... ...finance, human resources, and compliance. About the Firm: Founded in... .... Employee Activity Surveillance: Conduct routine monitoring,...Surveillance$150k - $200k
Chicago Trading Company (CTC) is a premier proprietary trading firm specializing in options... ...markets and each other better. As a Compliance Officer, you will report to the Chief... ...on securities and futures trade surveillances for all CTC trading affiliates globally...SurveillanceFor contractorsWorldwide$111k - $140k
...fragmented, with limited products and services that support trading strategies, structures, and liquidity found in... ...landscape. Position Summary FalconX is seeking a Compliance Associate, Markets Surveillance to join our Compliance team and play a central role in...SurveillanceFull timeContract workLocal areaShift work- ...broker-dealer that is seeking an experienced Compliance Officer to provide broad-based coverage across its trading and capital markets businesses. This role is 5... ...including CAT, CAIS and Rule 606. Manage the firm's surveillance programme, control room and restricted-list...SurveillanceWork at office
$70k - $145k
Compliance AnalystAbout Millennium Millennium is a global, diversified alternative investment... ..., processes, systems, controls, surveillance, testing, and reporting. The team works... ...controlled framework.What You'll Do Conduct trade surveillance reviews with a focus on identifying...Surveillance$70k - $160k
Compliance Analyst - Control RoomAbout MillenniumMillennium is a global, diversified alternative... ..., processes, systems, controls, surveillance, testing and reporting designed to help... ...partnering closely with management and trading teams throughout the investment process...Surveillance- ...Neuberger Registered Funds in New York seeks a Compliance Analyst for mutual funds and ETFs. You will support compliance matters, including surveillance of emails, guideline alerts, and fund policies under Rule 38a-1 and Rule 206(4)-7 programs. The role involves assisting...Surveillance
- ...consulting firm based in Midtown Manhattan, is seeking a Compliance Analyst to join their team. This role follows a hybrid... ...internal controls, governance frameworks, operations, and trade/communication surveillance systems. Prepare written reports for clients on regulatory...SurveillanceWork at office
$80k - $110k
...Compliance Analyst Neuberger is seeking an analyst to join the compliance team in New York. This person will report into the chief compliance... ...– central compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to contribute to...SurveillanceLocal areaShift work- Neuberger Berman seeks a Compliance Analyst - Mutual funds to support registered funds compliance matters, including ETFs, with the Chief... ...You will assist with board reports, policy monitoring, and surveillance programs under Rule 38a-1 and Rule 206(4)-7, collaborating...Surveillance
- 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
- Mercer Advisors seeks a detailed M&A Senior Compliance Analyst to support compliance activities for firms acquired by Mercer Advisors. The role emphasizes risk assessment, surveillance systems, and audits to ensure adherence to securities laws and internal policies. The...SurveillanceRemote job
- Neuberger Berman in New York is seeking a Compliance Analyst to join the Compliance Team. The role focuses on surveillance and monitoring, with opportunities to contribute to collaborative projects across the firm’s global compliance program. The ideal candidate has 1-...Surveillance
$80k - $110k
...The Compliance Analyst - Mutual funds position will report to the Chief Compliance Officer of... ...Registered Funds, including exchange traded funds ("ETF"). Responsibilities: Provide... ...funds business, including compliance surveillance activities related to employee emails,...SurveillanceShift work- ...tier investment management firm is looking for a full-time Compliance Analyst in New York City. The ideal candidate will have a Bachelor'... ...Investment or Asset Manager. Key responsibilities include portfolio surveillance and ensuring adherence to client guidelines and regulatory...SurveillanceFull time
$130k - $150k
...Reports to: Vice President, Compliance Position Overview We... ...detail-oriented Compliance Analyst to ensure our operations... ...opportunity to work across trading, clearing, and benchmark administration... ...Regulation updates and surveillance findings with our DSRO....SurveillanceContract work$80k - $90k
Compliance Analyst • Social Capital Resources • NYC Top‑Tier Investment Management Firm in NYC is seeking a full‑time Compliance Analyst... ...Resources. Responsibilities Perform portfolio and trade surveillance to ensure that the firm maintains compliance with client guidelines...SurveillanceFull time$67.5k - $90k
..., and secure. As a publicly traded company, Gemini is poised to... ...and impact. The Department: Compliance The Compliance Team at Gemini... ...and processes. The Role: Analyst, Compliance (Investigations)... ...Monitoring, Account Review, Market Surveillance, Legal, and other...SurveillanceWork experience placementWork at officeRemote workFlexible hours- ...Firm is seeking a junior to mid-level Compliance Officer to provide real-time advice and... ...Provide real-time advice and guidance to trading and sales force on regulatory... ...metrics. Conduct electronic communications surveillance and trade reconstructions. Draft responses...SurveillanceFull timeWork at office
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