Senior Trade Surveillance & Compliance Officer
Marex
Marex is hiring a Surveillance Compliance Officer for its New York office. The role focuses on Trade Surveillance, E-communications and Voice review across US BD and FCM lines, with exposure to multiple asset classes and venues. You will contribute to the ongoing improvement of surveillance processes and ensure adherence to regulatory requirements. The position requires solid understanding of financial markets, strong data analysis, and experience in a regulated environment. #J-18808-Ljbffr Marex
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Senior Trade Surveillance & Compliance Officer in New York, NY vacancy
$125k - $175k
Purpose of Role Marex is recruiting a Surveillance Compliance Officer to join the team at our New York office. The role focuses on Trade Surveillance (Trade Activity and Communications) across a range of asset classes including Cash Equity, Fixed Income, Commodities and...SurveillanceSeniorWork at office$125k - $175k
...products, executing around 50 million trades and clearing 205 million contracts in... ...asset managers. With more than 35 offices around the globe, and over 2,300 dedicated... ...of Role: Marex is recruiting for a Surveillance Compliance officer to join the team our at our...SurveillanceSeniorFull timeWork at officeImmediate start- ...-strategy hedge fund with a new senior compliance hire in New York. The hire will... ...into the Global Chief Compliance Officer. Responsibilities : Serve... ...crossing procedures. Conduct trade and electronic communications surveillance and enhance related control...SurveillanceSenior
Rutherford Search
New York, NY5 days ago $150k - $200k
...will support the firm's compliance program across... ...debt funds, and exchange-traded funds (ETFs), ensuring... ...compliance testing and surveillance activities related to... ...one of our following offices 3 days/week.Boston, New... ...discretionary bonus.#MID_SENIOR_LEVELAt Franklin Templeton...SurveillanceSeniorFull timeLocal area3 days per week$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department... ...global investment and trading activities by establishing and... ...pre- and post-trade surveillance. Our team is essential to Point... ...plans, and present results to senior compliance leadersDevelop and...SurveillanceWork experience placement- ...motivated individual to join our team as a Senior Compliance Officer. In this role, the individual will... ...and oversight to the firm’s equities trading and sales teams. The role ensures... ...stakeholders, manage regulatory risk, support surveillance and control frameworks, and...SurveillanceSenior
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We’re seeking a future team member for the role of Senior Vice President, Consumer Compliance Officer - Global Payments & Trade. to join our Risk & Compliance team. This role is located in Pittsburgh, PA or Lake Mary, FL In this role, you’ll make an impact in the following...SeniorTemporary workWorldwideFlexible hours- Mondrian Alpha, a premier global hedge fund, seeks a Compliance Officer for its New York office. The role offers broad remit across trading, advisory, surveillance, and core compliance, with strong potential to drive automation and team expansion. You will interact with...SurveillanceWork at officeFlexible hours
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...Job Family Group Audit, Risk & Compliance The Capital Markets Senior Compliance Officer will assist in the effective implementation... ...assessment, monitoring and surveillance activities to ensure that the... ...understanding of options trading and market structure. Experience...SurveillanceSeniorLocal area$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where Out of the Ordinary HappensAt... ....Act as a trusted advisor to senior stakeholders, delivering timely, practical... ..., Compliance Advisory, Control Room, Surveillance, IT, Operations, Research and third-party...SurveillanceSeniorFull timeWork at officeRemote work- Une institution financière basée à New York recherche un Senior Compliance Officer pour rejoindre son équipe de surveillance et de tests de conformité. Le candidat idéal doit avoir une expérience de 5 à 7 ans dans le domaine de la conformité, une formation en baccalauré...SurveillanceSeniorRemote job
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Senior Compliance Associate, Registered Funds (New York, NY): Our client, a leading diversified asset management firm with over $50B in... ..., and board reporting. Conduct ongoing portfolio and trade surveillance to ensure adherence to regulatory requirements, client mandates...SurveillanceSenior- Compliance Associate (New York, NY): Our client, the asset management... ...such as wall crosses, trade requests, conflict checks, ad... ...internal compliance testing and surveillance program, as well as prepare... ...scopes Job Reference #2979397 Seniority level Seniority level...SurveillanceSeniorFull time
$125k - $222.5k
...Private Bank Americas – Senior Compliance Officer Corporate Title Vice PresidentLocation New York, NYOverviewYou will work in the Compliance... ...compliance risk assessments, targeted reviews, and ongoing surveillance of business activities, identifying emerging risks and...SurveillanceSeniorWork at officeWork from homeDeutsche Bank
New York, NY2 days ago$125k - $222.5k
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...secure. As a publicly traded company, Gemini is poised... ...: Finance The Role: Senior Associate, Trading... ...our New York City, NY office. Responsibilities: Execute... ...Partner with Compliance, Finance, Product and... ...regulatory reporting, trade surveillance, and system enhancements...SurveillanceSeniorWork at officeRemote workFlexible hours- Insitu seeks an experienced Trade Compliance Specialist to support its international programs. The role focuses on export license writing, classification, and license lifecycle management for ITAR and EAR regimes, coordinating with internal teams and external partners...SeniorRemote job
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$89k - $105k
...fingertips, anytime and anywhere. The Compliance Specialist will help create and champion... ...best practices and procedures, creating surveillance tools, responding to regulatory... ...Westlake, TX, Denver, and Menlo Park, CA office(s), with in-person attendance expected...SurveillanceSeniorWork at officeFlexible hoursShift work3 days per week- 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...SurveillanceSeniorRemote job
$130k - $234k
Principal/ Sr. Consultant - Risk & Compliance - Trade Surveillance This range is provided by Infosys Consulting... ...at all levels including Consultant/ Senior Consultant/ Principal - Compliance &... ...by disruptive technology. With offices in 20 countries and backed by the power...SurveillanceSeniorFull time- Senior Logistics & Trade Compliance Specialist Reports to: Warehouse Manager FLSA Status: Non-exempt Position Summary The Senior Logistics & Trade... ...ERP systems (SAP, Oracle, or similar) and Microsoft Office Suite Exceptional attention to detail, analytical ability...SeniorFull timeWork at office
$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- ...FundSelling Points Lead impactful compliance operations in a dynamic... ...environment. Collaborate with senior leadership on strategic initiatives... ...Hedge Fund Compliance Officer / Legal Counsel OverviewThe Senior... ...compliance considerations in trading activities and portfolio...SeniorContract work
$115k - $185k
Senior Regulatory Affairs Specialist (Senior IC or Manager) Lexington Medical, Inc. is... ...lifecycle. Support ongoing regulatory compliance activities, including change order... ...Extensive experience with post‑market surveillance, including complaint handling support,...SurveillanceSeniorFull timeLocal areaRemote workFlexible hours- ...Position: Compliance Officer Reports to: Group Chief Compliance Officer... ...risk assessments, testing, surveillance, and remediation of identified issues. Advise senior leadership on compliance... ...employee certifications, personal trading, and conflicts of interest...SurveillanceWork at officeRemote workFlexible hours
Mill Tech
New York, NY1 day ago - ...their growing Alternative Investments Compliance Team. Ideal candidate will be working... ...responsible for all facets of Trade Compliance/Surveillance, Regulatory, and ah-hoc compliance reviews... ...investment related presentations for senior management and firm principals Candidate...Surveillance
Coda Search│Staffing
New York, NY3 days ago $120k - $160k
...AML Compliance Officer AML Compliance Officer Experience: 5+ Years Location: New York, NY... ...financial institutions, and proprietary trading firms. RQD Clearing is proud to be... ...compliance reviews such as wire and ACH surveillance activity exception reports Assist in...SurveillanceImmediate startFlexible hoursRQD* Clearing
New York, NY2 days ago
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