Trading Surveillance & Compliance VP Equities & Crypto
$115k - $165kMoomoo Inc.
A leading financial services company is seeking a Vice President of Trading Surveillance in Jersey City, NJ. This role involves monitoring and investigating potential market abuse across equities, options, and crypto. Candidates must have over 7 years of experience in trade surveillance, expertise in NASDAQ SMARTS, and hold Series 7 and 24 licenses. The position offers a competitive salary range from $115,000 to $165,000, along with excellent benefits such as medical coverage and 401k contributions. #J-18808-Ljbffr
- ...MooMoo seeks a Vice President of Trading Surveillance to monitor, investigate, and escalate potential market abuse and regulatory... ...violations. The role demands a solid understanding of equities, options, and crypto surveillance, along with strong analytical and communication...Employment EquitySurveillanceWork at office
- ...Vice President, Trading Surveillance Compliance About the Company Digitally-driven... ...asset classes, including equities, options, and digital assets... ...requirements. The VP will be expected to have a... ...on equities, options, and crypto, and possess strong investigative...Employment EquitySurveillance
$115k - $165k
...Inc.: Offering a data-rich trading platform, we provide... ...The Vice President, Trading Surveillance will be responsible for monitoring... ...role supports the firm’s compliance with FINRA, SEC, and other... ...have deep experience with equities, options, and crypto surveillance, strong...Employment EquitySurveillanceWork at officeLocal areaRemote work$500 per month
...for stocks, ETFs, options, crypto, fixed income, 24/5 trading, and more. Our recent... ...dynamic and fully remote AML Compliance team dedicated to... ...AML, sanctions, fraud, and surveillance programs. Oversee transaction... ...activity across crypto, equities, and other financial instruments...Employment EquitySurveillanceRemote workHome office$180k - $240k
...President, Legal and Compliance - CFTC Compliance New... ...assets platform spans trading, investment banking,... ...our team blends deep crypto expertise with institutional... ...e-communication surveillance and Compliance testing... ...salary, annual bonus, and equity incentives. Base...Employment EquitySurveillanceLocal areaFlexible hours$94k - $127k
...A financial services firm is seeking a Compliance Officer to oversee the Swap Dealer Compliance... ..., NFA, and SEC regulations, conducting surveillance program reviews, and responding to... ...$127,000, with additional performance bonuses and equity options. #J-18808-Ljbffr...Employment EquitySurveillance$180k - $240k
...assets platform spans trading, investment banking, asset... ...our team blends deep crypto expertise with... ...You Are: The Legal & Compliance Vice President will be... ...Perform e-communication surveillance and Compliance testing... ...salary, annual bonus, and equity incentives. Base...Employment EquitySurveillanceFull timeLocal areaFlexible hours$150k - $170k
...of tomorrow with cutting‑edge trading surveillance and risk management solutions... ...transparency, and ensure regulatory compliance across traditional financial assets and crypto markets. With the rapid... ...base pay, Solidus Labs offers equity, unlimited PTO and a generous...Employment EquitySurveillance$150k - $200k
...Conduct in‑depth credit analysis of private equity and private credit platforms, including... ...~Perform ongoing surveillance of approved counterparties, including NAV... ...concentration risk. ~Monitor covenant compliance, reporting obligations and key risk indicators...Employment EquitySurveillanceLocal area$130k - $170k
...digital assets platform spans trading, investment banking, asset... ...Dream Teams. Who You Are The Compliance Associate/VP will be responsible for day-... ...base salary, bonus, and equity compensation Company paid sick... ...to learn about the Crypto industry Free daily snacks...Employment EquityWork at office$180k - $220k
...management firm is seeking an experienced Chief Compliance Officer to lead its end-to-end compliance function across equities, fixed income, and futures. Reporting... ...as the primary regulatory contact Oversee surveillance, internal controls, employee certifications,...Employment EquitySurveillanceContract work$250k - $300k
...with industry-leading cloud archiving, surveillance, eDiscovery, and analytics solutions. We... ...over their information and ensuring compliance with stringent regulations. Though we... ...opportunity employer committed to diversity, equity, and inclusion. We seek to ensure...Employment EquitySurveillanceTemporary workWork experience placementWork at officeShift work- ...tomorrow by providing cutting-edge trade surveillance technology that protects... ...transparency, and ensures regulatory compliance across traditional financial assets and crypto markets. With over 20 years... ...base pay, Solidus Labs offers equity, unlimited PTO and a generous...Employment EquitySurveillanceWorldwide
- ...Compliance, GBM Public Compliance - Digital Assets, Vice President... ...law, accounting, sales, and trading. We look for those who possess... ...technology on GS DAP®, crypto‑linked trading products and... ...standard blockchain analytics and surveillance tools, with a strong...Surveillance
$200k - $295k
...capital management with JFIN's equity investors (Jefferies... ...reports, waterfalls and payment, compliance certificates, and responding... ...including initial ratings, surveillance, and methodology updates.... ...provides advisory, sales and trading, research, and wealth and asset...Employment EquitySurveillanceFull timePart timeLocal area- ...Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience... ...experience in the supervision of Equities Trading " as well as writing and updating... ...examinations; monitor complaints; conduct surveillance and transaction monitoring and...Employment EquitySurveillance
- ....S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income instruments, financial futures, and... ...in Japan. Position Summary: The Trading and Surveillance Compliance Specialist supports the front office sales and trading...Employment EquitySurveillanceTemporary workWork at officeLocal areaRemote workFlexible hours3 days per week
$125 - $175 per hour
...Job Description High frequency trading firm is seeking a Compliance Surveillance Analyst to join their Compliance team. This role is instrumental in... ...trading activity in one or more asset classes such as equities, options, fixed income, FX, futures, commodities,...Employment EquitySurveillance- ...Description Job Description VP/Director of Technical Product... ..., fraud prevention, and compliance solutions Lead go-to-market... ...compensation package including equity participation Professional... ...profile criminal and illegal surveillance cases, including: UNICEF:...Employment EquitySurveillanceCasual workWork at officeLocal area
$60k - $80k
...with industry-leading cloud archiving, surveillance, eDiscovery, and analytics solutions. We... ...over their information and ensuring compliance with stringent regulations. Though we... ...opportunity employer committed to diversity, equity, and inclusion. We seek to ensure...Employment EquitySurveillanceTemporary workWork experience placementWork at office$120k - $210k
...Operations, Technology, Compliance, and Legal to ensure a... ...framework across trading, financing, and post-trade... .... The VP will act as a trusted... ...~ Market conduct and surveillance ~ Margin, collateral... ...a securities finance, equity total return swaps, or...Employment EquitySurveillanceTemporary workFlexible hours$95k
...Network Security, Telecom, Voice/Trading voice, Record Keeping,... ...maintain lifecycle with oversight, compliance controls- including,... ...Booking, Position Risk & PnL, and Surveillance; * Global Banking IT:... ...initiatives such as our Diversity, Equity & Inclusion (DEI) Leadership...Employment EquitySurveillancePermanent employmentSummer workInternshipSummer internshipWork at officeLocal area- ...Senior Associate – Investment Compliance Series 7~ This... ...with investment operations, trading personnel, and cross-functional... ...regulatory oversight, trade surveillance, forensic review processes,... ...experience with fixed income, equities, and derivatives preferred...Employment EquitySurveillance
- ...Vice President, Equities Compliance About the Company Renowned investment bank Industry Investment Banking Type Privately... .... The successful candidate will be a key member of the Trading and Surveillance team, responsible for reviewing surveillance reports,...Employment EquitySurveillance
- ...The Opportunity Compliance at U.S. RIAs, broker‑dealers, and wealth... ...for keywords, and reviewing trades and trade requests by hand. Across... ...review into communications surveillance, policy and manuals, audit, and... ..., you receive founder‑level equity, founder‑level authority with...Employment EquitySurveillance
$100k - $115k
...5. We employ a global macro trading strategy that seeks to capture... ...exchange, fixed income, equity, and derivatives markets. With... ...oriented individual to join our Compliance team and contribute to our... ...employee and firm trade surveillance Review marketing materials...Employment EquitySurveillanceSummer workWork at officeMonday to Friday- ...Global Compliance Our division prevents, detects and mitigates... ...law, accounting, sales, and trading. We look for those who possess... ...the Global Banking & Markets Equities Prime Services businesses... ...inquiries Perform oversight of surveillances and programmatic reviews to...Employment EquitySurveillance
- ...across Strategy, Finance, Productivity, HR, Technology, Legal, and Compliance. The business manager is a strategic partner to the heads of... ...compensation, paid in the form of cash and/or forfeitable equity, awarded in recognition of individual achievements and contributions...Employment EquityWork at office
- ...Vice President, Compliance Officer About the Company Globally recognized alternative... ...fund businesses, including private equity, private credit, and real estate strategies... ..., policy development and training, surveillance and testing, and stakeholder engagement...Employment EquitySurveillance
$125k - $165k
...registered CTA/CPO) is seeking a VP, Compliance Officer. Vice President... ...day-to-day compliance surveillance activities including Code of... ...enforcement (including personal trade review and monitoring,... ...investment banking, capital markets, equity and fixed income sales &...Employment EquitySurveillanceWork experience placementWork at officeLocal areaRemote workWorldwide
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