Surveillance Analyst - Broker Dealer Compliance
$130k - $180kPhaxis
This range is provided by Phaxis. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $130,000.00/yr - $180,000.00/yr Direct message the job poster from Phaxis Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building We are seeking a detail-oriented Compliance Surveillance Analyst to support our risk and compliance operations. This role involves working closely with internal teams to monitor trading activity, address potential regulatory concerns, and support the development of effective solutions. The ideal candidate is proactive, solutions-driven, and thrives in a collaborative, fast-paced environment. Key Responsibilities: Design and execute surveillance reviews across various business lines and subject areas. Partner with internal inquiry and investigative teams to support regulatory responses and internal reviews. Identify areas for process improvement and contribute to the automation and enhancement of surveillance workflows. Collaborate with trading, technology, and compliance personnel to investigate and resolve surveillance findings. Use data to identify behavioral patterns, risks, and trends across trading activity. Qualifications: Bachelor’s degree preferred, though equivalent industry experience will also be considered. 2–6 years of experience in financial services, fintech, or with a regulatory agency. Familiarity with broker-dealer regulations and rules from the SEC, CFTC, FINRA, or other relevant regulatory bodies. Prior experience reviewing trading activity across multiple asset classes, such as equities, derivatives, FX, crypto, and fixed income products. Excellent written and verbal communication skills, with the ability to work independently and within cross-functional teams. Experience with data tools or programming languages (e.g., SQL, Python) is a plus. Seniority level Seniority level Mid-Senior level Employment type Employment type Full-time Job function Job function Finance Industries Financial Services, Investment Banking, and Capital Markets Referrals increase your chances of interviewing at Phaxis by 2x Sign in to set job alerts for “Surveillance Analyst” roles. Morris Plains, NJ $99,400.00-$124,200.00 12 hours ago Morris Plains, NJ $99,400.00-$124,200.00 1 week ago Business Analyst with PolicyCenter- Remote Business Analyst with Guidewire Policy Center - Remote With Travel Trenton, NJ $102,890.67-$139,637.34 1 month ago Newark, NJ $102,890.67-$139,637.34 1 month ago Business Analyst with Policy Center- Hybrid Business Analyst with Pharma Background - Onsite Mays Landing, NJ $64,800.00-$89,100.00 2 days ago Penns Grove, NJ $64,800.00-$89,100.00 2 days ago Trenton, NJ $64,800.00-$89,100.00 2 days ago New Jersey, United States $65,000.00-$75,000.00 2 hours ago Conflict of Interest Analyst - Research Compliance Associate Director, Quality Systems & Compliance - Purchasing Controls - Remote Rahway, NJ $126,500.00-$199,100.00 1 day ago New Brunswick, NJ $45.00-$65.00 11 hours ago Business Analyst with Medical Devices & CPQ Experience - Onsite We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI. #J-18808-Ljbffr Phaxis
- Job Title: AML Compliance OfficerLocation: New York, NY (Hybrid)Employment Type: Full-TimeCompensation... ...company, operating as a FINRA-member broker-dealer, is seeking an experienced and highly... ...framework, including transaction surveillance, customer onboarding, ongoing due...SurveillanceFull timeWork at office
Market Access Staffing
New York, NY3 days ago - ...Search Solutions (CSS) is recruiting an experienced Compliance Manager to support the broker-dealer and registered investment adviser entities of a... ...manage daily compliance operations, regulatory testing, surveillance, registrations, advertising reviews, and...SurveillancePermanent employmentContract workTemporary work
CSS
New York, NY8 days ago - ...has an exciting opportunity for an Associate to join its broker-dealer Compliance team in the New York office. Responsibilities include conducting... ...releases and social media posts Conduct communications surveillance Prepare regulatory filings Support FINRA licensing...SurveillanceWork at officeLocal area
- ...Broker Dealer Compliance Advisory- Equities & Options We are working with a financial services organization seeking an experienced Compliance professional for a senior advisory position supporting its markets businesses. The role will work closely with business...SuggestedFull time
Dynamics Executive Search
New York, NY1 day ago $159.4k - $181.9k
...seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities.... ...operations and ensuring compliance with regulatory requirements... ...managing and developing a team of analysts. Candidates should have...Surveillance- ...and personalized guidance in one app for everyday Americans to invest and save with confidence. As a Senior Associate, Broker Dealer Compliance , you’ll report to the Vice President of Broker-Dealer Compliance, and collaborate with functional areas across the...Work experience placement
Stash
New York, NY21 days ago $151.9k - $173.4k
**Job Description** **The Compliance Risk Manager will support Capital One’s broker dealers compliance program. Compliance Risk Managers are highly motivated Risk Management professionals with excellent communication skills, strong judgment and decision-making skills with...Full timePart timeWork at officeLocal areaFlexible hoursCapital One
New York, NY4 days ago- ...A prestigious broker-dealer firm in NYC is looking to hire a Compliance Associate/Compliance Officer. This position will report into the Compliance Director that oversees broker-dealer compliance and will get good exposure to other senior leadership at the firm. An ideal...Full time
JCW Group
New York, NY4 hours ago - Capital One is seeking a Compliance Risk Manager to support the CBDs compliance program, providing risk management across mergers, acquisitions, investment banking, underwriting, equity sales, trading and research. You will review conflicts, OBAs, gifts and entertainment...Work at office
- Horace Mann is seeking a detail-oriented Suitability Analyst to join our Broker-Dealer Compliance team. You will review financial service applications and transactions for suitability, ensure compliance with FINRA rules, and maintain essential documentation to support...
$159.4k - $181.9k
Trade Surveillance Manager (Broker-Dealer & Swap Dealer) - Capital One About the Role We are seeking a highly... ...activity, and ensure ongoing compliance with SEC, FINRA, CFTC, and NFA regulatory... ..., train, and develop surveillance analysts, fostering a culture of compliance,...SurveillanceFull timePart timeLocal area$66.5k - $92k
...seeking a detail-oriented and knowledgeable Suitability Analyst to join our Broker-Dealer Compliance team. In this role, you'll help protect our clients... ...to registered personnel. You'll also contribute to surveillance, training, forms, and process improvements that strengthen...SurveillanceContract workWork at office$180k - $200k
...documentation to confirm that approved terms, covenants, and conditions are accurately reflected prior to closing Perform ongoing surveillance of the credit portfolio including watchlist management, early identification of deteriorating credits, emerging sector risks,...SurveillanceFull timeWork at officeMadison-Davis, LLC
New York, NY2 days ago- ...helps companies manage cross-border payments, multi-currency accounts and treasury operations. We’re growing our Compliance team and looking for a junior analyst with a KYC/KYB background. You’ll support our Compliance team in Merchant Onboarding and Periodic Reviews....Remote work
- ...Description Job Description Title: Technical Business Analyst – Fixed Income / Trade Surveillance Location: New York City, NY or Jersey City, NJ... ...specifications, and collaborate across Trading, Compliance, Surveillance, Technology, and Data teams to enhance...SurveillanceContract work
Expert In Recruitment Solutions
New York, NY2 days ago - ...data integration, and solution leadership for AML, Fraud, and Surveillance programs. Core Responsibilities OFSAA FCCM ECM Development... ...security matrix (role‑based access for investigators, supervisors, compliance users) Tune alert thresholds, prioritization, and routing...Surveillance
$150k - $180k
Careers / Frec / Senior Operations Associate — Broker-Dealer & RIA Senior Operations Associate — Broker-Dealer & RIA Posted 1 day ago About... ...initiatives, and engineering projects. Contribute to the compliance program — account-opening escalations, marketing reviews, and...Permanent employmentRemote workFlexible hours$100k - $120k
Group Compliance supports SEB in conducting its business ethically,... ...society. We are seeking a Senior Analyst, Compliance Officer to join... ...transaction-monitoring and surveillance activities within approved... .... Support assigned SEBSI broker-dealer compliance activities under...SurveillanceWork at office$116.2k - $158.3k
...About the DepartmentThe GIS eDiscovery and Compliance Operations team is responsible for... ...drive for success.What is the Senior IS Analyst - IT Security/Compliance Operations responsible... ...ManagementSupport eDiscovery cases & surveillance policies (eDiscovery/Communication...SurveillanceWork at officeLocal area3 days per weekFranklin Templeton
New York, NY4 days ago- ...expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient... ..., audits, inquiries, and remediation efforts. Partner with Surveillance, Operational Risk, Legal, and other control functions to...Surveillance
- Freedom Mortgage is seeking an Analyst, Research Business Control to perform assigned functions within Correspondence & Research with accuracy and compliance. Responsibilities include coding disaster loans per investor guidelines, handling quality control reviews, and...
- Posting Details Posted on October 30, 2026 Locations Showing 1 location Madison, Wisconsin Madison, WI, USA Underwriting Full-Time Requisition #: RISKC002118 Description Job Title: Risk Control Specialist FLSA Status: Exempt Job Family: Underwriting Department:...Full timeContract workNight shift
$10k
...safeguard the health of New Yorkers through identification, surveillance, treatment, control, and prevention of infectious diseases, which... ...quality assurance of Human Resources processes, training compliance, and professional development travel requests. DUTIES WILL INCLUDE...SurveillanceFull timeWork at officeWork from home2 days per week- ...expertise to JPMorgan Chase. As part of Risk Management and Compliance, you are at the center of keeping JPMorgan Chase strong and resilient... ..., audits, inquiries, and remediation efforts. Partner with Surveillance, Operational Risk, Legal, and other control functions to...Surveillance
- ...Job Description Job Description A leading financial services firm is seeking a Broker-Dealer Compliance Advisor with strong expertise in U.S. Broker-Dealer regulations, particularly Equities and Listed Options . This role will provide compliance guidance to business...
- ...Job Description Job Description Our client is seeking a senior Compliance professional to lead the Broker-Dealer Compliance function supporting U.S. trading and business activities. This individual will manage a team of Compliance professionals and act as a key advisor...
$60 - $63 per hour
...Temporary Consultant – Broker-Dealer Regulatory Reporting Russell Tobin is seeking a Temporary Consultant to support daily net capital calculations and regulatory reporting activities for U.S. and foreign broker-dealers. This role will work closely with the Securities...Contract workTemporary workLocal areaMonday to FridayRussell Tobin
New York, NY7 days ago$155k - $285k
Senior Quantitative Analyst - Interest Rate Modeling & Risk Analytics Location New York Business Area Engineering and CTO... ..., engineers, and sales to create high impact valuation, surveillance and risk management tools for both internal and external clients...SurveillanceTemporary workFor contractorsWork experience placementBloomberg
New York, NY2 days ago$130k - $160k
Electronic Communications Surveillance Analyst Location New York Business Area Legal, Compliance, and Risk Ref # 10054221 Description & Requirements About the TeamBloomberg’s Legal and Compliance Department plays a critical role in supporting our...SurveillanceTemporary workFor contractorsWork experience placementBloomberg
New York, NY19 hours ago- Finom is seeking a Fraud Analyst focused on card acquiring risks in the Second Line of Defence. You will identify, analyze, and mitigate merchant fraud typologies while monitoring first-line controls and independently challenging decisions. Develop and tune acquiring fraud...Remote job
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Surveillance Analyst - Broker Dealer Compliance. Be the first to apply!
- hybrid analyst New York, NY
- review analyst New York, NY
- remote analyst New York, NY
- senior infrastructure analyst New York, NY
- incident response analyst New York, NY
- military analyst New York, NY
- behavior analyst bcba New York, NY
- student analyst New York, NY
- senior trade analyst New York, NY
- medicare analyst New York, NY