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
$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- 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
$190k - $225k
...looking to hire a Senior Vice President to join the Broker Dealer and Distribution Compliance team within the Regulatory and Compliance group. This... ...of key compliance functions, including supervision, surveillance, investigations, regulatory reporting, and compliance...SurveillanceFull timeWork at officeRemote work- SGS Société Générale de Surveillance SA is looking for a highly motivated staff accountant to join their finance department... ...and quarterly financial reviews, and ensuring compliance with regulations for broker-dealers. The ideal candidate will hold a Bachelor's degree in...Surveillance
$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$110.64k - $136.46k
...assessed during the interview process. About The Role The Compliance Manager, Broker-Dealer & Investment Adviser is an essential member of the... ...of the compliance program — owning execution, testing, surveillance, and day-to-day program management across both the RIA...SurveillanceFull timeWork at officeLocal area2 days per week3 days per week- A leading International Broker-Dealer, located in New York, NY, is seeking a Market Risk Analyst to join their growing team. This is a great opportunity to join a dynamic group and work closely with senior management, as this individual will be reporting directly into...
$150k - $200k
...Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and Investment firm located in midtown Manhattan,... ...: Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors Work...SurveillanceWork at officeRemote work$120.8k - $137.9k
...highly analytical and investigative Trade Surveillance Principal Associate to play a key role... ...program across both its institutional Broker-Dealer (BD) and Swap Dealer (SD) businesses.... ...trading activity, and ensure ongoing compliance with SEC, FINRA, CFTC, and NFA...SurveillanceFull timePart timeLocal areaCapital One National Association
New York, NY4 days ago$110k - $140k
...trading ideas. Leverage Galaxy Securities’ unique position as a broker‑dealer within a crypto‑native firm to develop innovative cross‑asset... ...providers to access optimal pricing and liquidity. Ensure compliance with best execution standards and regulatory requirements across...Work at officeLocal areaFlexible hoursGalaxydigitalservices
New York, NY6 hours ago- A global financial institution is seeking an Analyst/Associate for their Financial Institutions Group in New York. The role involves client coverage, transaction support, and cross-selling various products. Candidates should have at least 2 years of experience in the financial...
$130k - $177k
Technical Recruiter @ Aegistech | Full Cycle Recruitment Our Financial Services client is seeking a Business Analyst to join our Broker Dealer Back Office team, with a focus on Transaction Lifecycle Management (TLM) for collateral management. This role supports risk mitigation...Contract workH1bLocal areaRelocation3 days per week- An International Broker Dealer is looking for an experienced Corporate Actions specialist to join their team. This candidate will be responsible... ...the above functions Review file folders for completion and compliance with operating procedures and execution of risk controls...
$190k - $225k
iCapital is seeking a Senior Vice President for the Broker Dealer and Distribution Compliance team in New York. The role involves oversight of the compliance program ensuring adherence to FINRA and SEC regulations, focusing on alternative investments and structured products...Remote job- ...analytical staff accountant within the Finance department of U.S. broker-dealer. This role is vital for enhancing our broker-dealer... ...and a desire to explore their applications in enhancing workflow efficiencies. #J-18808-Ljbffr SGS Société Générale de Surveillance SASurveillancePermanent employment
- Wise is seeking a Lead Compliance Manager to provide senior regulatory leadership for North America Assets, including Wise US Assets Inc. and Wise Assets Canada Inc. The role requires deep broker-dealer knowledge and independent operation within a fast-paced product-led...
- ...Markets Group seeks an Assistant General Counsel (Capital Markets, Broker-Dealer, FinTech) in New York City. You will provide strategic legal guidance across product development, technology, compliance, finance, HR and marketing, with emphasis on ATS operations and broker...
- Gusto is hiring a Compliance Manager for their team in New York. This pivotal role involves supervising compliance programs and ensuring operational efficiency within the Gusto Retirement Compliance Team. Successful candidates will need a minimum of 5 years compliance...
- An international broker dealer is seeking an experienced Corporate Actions specialist to join their dynamic team. This role involves processing... ..., managing stock loan trade reconciliations, and ensuring compliance with operational procedures. The ideal candidate will possess...
$170k - $190k
Broker Dealer Regulatory Reporting QA - Vice President Broker Dealer Regulatory Reporting QA - Vice President 4 days ago Be among the first... ...daily reporting teams to assess accuracy, completeness, and compliance with regulatory instructions and industry expectations....Full timeWork at officeRemote work- Nextera Search is seeking a professional in New York, NY to oversee compliance with broker-dealer regulatory capital requirements. You will perform daily regulatory capital calculations and ensure adherence to financial responsibility rules. The ideal candidate has 7-12...
- Wise is seeking a Lead Compliance Manager in New York to provide senior compliance leadership for its North America Assets. This critical... ...should have over 12 years of relevant experience in broker-dealer regulatory compliance, strong knowledge of regulatory standards...
- ...looking for an experienced professional to oversee and enhance our compliance programs, ensuring adherence to regulatory requirements. The... ...Risk to maintain the SD risk management program and enhance surveillance. Design and execute risk-based compliance testing and...Surveillance
- ...Senior Vice President, Associate General Counsel, Broker-Dealer Regulatory Compliance About the Company Profitable broker & financial advisory firm Industry Financial Services Type Public Company Founded 1989 Employees 5001-10,000 Categories...
- ...multiple client accounts effectively. The role includes responsibilities such as preparing financial reporting packages and ensuring compliance with FINRA regulations. Proficiency in QuickBooks is a must along with strong communication skills. Join Aci Llc and contribute...
- ...escalated matters involving regulatory exposure, supervisory concerns, policy interpretation, and business conduct risks. Oversee compliance considerations associated with specialized investment offerings and insurance-related products, including non-traditional...
$213.31k - $355.45k
...various business units. This team focuses primarily on LPL’s broker-dealer and custodial platform business, while also supporting the investment... ...broker-dealer and advisory platforms. The role also advises Compliance, Supervision, and Risk, as well as Business Development (...Work from home$150k - $185k
...2,300 dedicated people enabling access to exchanges and technology-powered services. Purpose of Role Marex is seeking a Broker-Dealer Compliance Advisor (focusing on Equities and Options) who is a subject matter expert in U.S. Broker-Dealer regulation, providing compliance...Immediate start- ...Broadridge team. As the Head of Product Management for our Bank Broker Dealer business, you will create the product strategy, be... ...decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency...Work at officeLocal areaRemote work
- Nomura in New York is seeking a Distribution Compliance Associate within the Compliance department. The role administers the Delaware Distributors, L.P. broker-dealer compliance framework, focusing on sales practices, licensing, testing, and continuing education, with close...
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