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
- ...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...SurveillanceFull timeWork at officeLocal area
TPG
New York, NY1 day ago $199.5k - $275k
...Broker-Dealer & Cash Equities Attorney - Assistant General Counsel - Vice President job at... ...will work closely with the business, compliance, other internal control functions, internal... ...of the firm regarding supervision, surveillance and monitoring of business activities...SurveillanceComunidade Metodista
New York, NY2 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, NY17 days ago $290k - $335k
...the ever-evolving financial landscape, Compliance has become increasingly complex. Marex... .... Role Summary The Head of Broker Dealer Compliance is an expert in Broker Dealer... ...oversight of key programs, including trade surveillance, regulatory reporting, employee...SurveillanceFull timeWorldwide- ...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, NY5 days 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$151.9k - $173.4k
...Broker Dealer Advisory Manager 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...Full timePart timeWork at officeLocal areaFlexible hoursCapital One Financial Corp
New York, NY16 hours ago- ...Responsibilities: Partner with executive leadership to shape, execute, and continuously strengthen the firm's compliance framework in alignment with applicable securities industry regulatory obligations. Provide strategic oversight of monitoring, supervisory review...Full time
Partnership Employment
New York, NY5 days ago $213.31k - $355.45k
...Company Overview LPL Financial is a leading independent broker‑dealer supporting over 32,000 financial advisors and approximately 1,... ...legal and regulatory strategy for the broker‑dealer, advisory, compliance, supervision, risk, business development, and corporate...LPL Financial LLC
New York, NY2 days ago- ...previous reporting periods on a monthly, quarterly, and annual basis Preparing journal entries and monthly account reconciliations Compliance with SEA xhyhwjd Rule 15c3-3 and SEA Rule 15c3-1. FOCUS and FINRA reporting Broker Dealer Experience Required...
Social Capital Resources
New York, NY1 day ago - ...fund is looking to add an exceptional individual into their Compliance function. Launched in London a number of years ago, they have... ...new office space there. They are looking for a Trade Surveillance specialist with strong technical skillset to join their team....SurveillanceFull timeWork at office
Mondrian Alpha
New York, NY5 days ago - The Marex Head of Broker Dealer Compliance leads a team of compliance officers providing advisory services for Equities, Fixed Income, Listed Options and regulatory reporting to the Americas Broker Dealer units. The role focuses on real-time guidance, ensuring adherence...
- Partnership Employment in New York seeks an experienced compliance leader to partner with executive leadership and shape a robust compliance framework aligned with securities regulations. You will oversee monitoring, supervisory reviews, investigations, regulatory filings...
$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, NY3 days ago- ...committees, measuring key risks, and escalating issues as appropriate. Key Responsibilities: Liaise with market risk, financial surveillance, and other departments to familiarize others with counterparty credit, liquidity, and collateral risk profiles Perform daily...SurveillanceFull time
Informatic Technologies, Inc.
New York, NY2 days ago - McDermott Will & Schulte's Financial Institutions Group in New York seeks an Associate with 3+ years' experience advising broker-dealers and other financial services clients on regulatory matters. You will work with partners on a broad spectrum of securities regulatory...
- Dynamics Executive Search is seeking a senior Compliance professional for a brokerage advisory role focused on equities and options. The candidate will serve as a trusted compliance partner, advising on regulatory questions, evaluating risks, and maintaining supervisory...
- McDermott Will & Schulte seeks an attorney with a substantive focus on broker-dealer regulation to join its regulatory practice in New York. The role involves advising on complex securities matters for leading financial institutions. You will counsel on Securities Exchange...
$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$1,000 per day
A leading consulting firm is seeking an experienced Compliance Officer to oversee regulatory governance within a U.S. broker-dealer. The role focuses on maintaining compliance across Operations, Treasury, and Finance interfaces. Key responsibilities include managing the...Contract workWork at office- Social Capital Resources in New York City seeks a Chief Compliance Officer to lead a full-time program for a FINRA-registered broker-dealer. The candidate will design, implement, and oversee the compliance framework, advise senior management on regulatory developments,...Full time
- ...securities transfers, and corporate action processing with rigorous documentation and controls. Collaborate across Engineering, Product, Trading, and Compliance teams to resolve time-sensitive operational issues and improve workflow efficiency. #J-18808-Ljbffr Partner CompanyRemote job
- ...IDR is seeking a Business Systems Analyst to join one of our top clients for a remote opportunity... ...system analysis, data integration, and surveillance solutions in a dynamic environment focused on trading data and regulatory compliance.Position Overview for the Business...SurveillanceRemote work
Internal Data Resources
New York, NY2 days ago - ...Portfolio Analysis team. You will help develop stress testing scenarios, work with risk modeling and front office, and support surveillance and reporting. The role requires strong quantitative skills, experience with PFE/EPE/EAD, and ability to communicate complex risk...SurveillanceRemote work
- ...The role focuses on delegated trade review and surveillance to identify risks and noncompliance under FINRA... ...state rules. It requires Series 7/24, multiple broker-dealer experiences, and strong collaboration with Compliance and Field teams. Remote work is offered with a...SurveillanceRemote job
- BNY is seeking a Senior Vice President for the Markets Compliance team to support the US Broker Dealer. The role is based in New York City and involves partnering with business leads, Compliance, Finance, and Operations to maintain a robust compliance program for broker...
- Hold Brothers Capital, LLC, a self-clearing broker-dealer in US equities, headquartered in New York, seeks a Deputy CFO to manage day-to... ...under the CFO, ensure timely financial reporting, regulatory compliance and strong internal controls. Key duties include payroll administration...Remote job
- ...Technical Business Analyst Team Profile: Legal Compliance & Corporate Governance (LCG) Technology provides operational controls and surveillance capabilities to enhance the firm's resilience to threats and fraudulent behavior. Our support of critical business functions...SurveillanceWork experience placement
3B Staffing LLC
New York, NY16 hours ago $200k - $300k
...RolePolymarket is looking for a Sr Data Scientist / Analyst, Fraud & Risk to proactively prevent... .... You'll work closely with product and compliance, sitting between the data and the... ...forensics(Plus) Experience with trade surveillance, market manipulation detection, or AML(...SurveillancePolymarket
New York, NY2 days ago$200k - $300k
...Polymarket is looking for a Sr Data Scientist / Analyst, Fraud & Risk to proactively prevent... .... You'll work closely with product and compliance, sitting between the data and the... ...forensics ~(Plus) Experience with trade surveillance, market manipulation detection, or AML...SurveillancePolymarket
New York, NY2 days ago
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