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 1 day 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, NY3 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- Chicago Trading Company (CTC) is seeking a Compliance Officer to support global compliance operations, focusing on surveillance for securities and futures with a strong emphasis on risk assessment and process improvement. The role reports to the Chief Compliance Officer...SurveillanceSenior
$150k - $200k
Chicago Trading Company (CTC) is a premier proprietary trading firm specializing in... ...markets and each other better. As a Compliance Officer, you will report to the Chief Compliance... ...focusing on securities and futures trade surveillances for all CTC trading affiliates...SurveillanceFor contractorsWorldwide- 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
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$130k - $234k
A global management consulting firm is seeking a Principal/Sr. Consultant in Risk & Compliance for their Trade Surveillance team. The role involves collaborating with various teams to shape trade surveillance strategies, analyzing data, and leading compliance initiatives...SurveillanceFull time- Phyton Talent Advisors in New York seeks a Compliance & Surveillance professional to monitor employee brokerage activity, manage data feeds, and conduct surveillance related to trading. You will coordinate disclosures, watchlists, and information barriers while supporting...Surveillance
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...more about working at Coinbase. As a Trade Surveillance Associate in the Market Regulation Department... ...closely with the Chief Regulatory Officer and Market Regulation Department, you'... ...by CDE participants to ensure compliance with CDE's rulebook and applicable CFTC...SurveillanceContract workLocal area- 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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Trading Desk Associate Regulatory Analyst Join our client's dynamic... ...trading and regulatory compliance as a Trading Desk Associate... ...Do: Conduct thorough daily surveillance and data quality reviews of... .... Proficiency in Microsoft Office Suite, particularly Excel....SurveillancePermanent employmentFull timeWork at office$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- iRhythm Technologies, Inc. is seeking a Senior Regulatory Affairs Specialist to lead global regulatory strategies... ...will interact with authorities, ensure lifecycle compliance, and contribute to post-market surveillance. 3 years of experience and knowledge of major regulations...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- ...Warehouse Manager FLSA Status: Non-exempt Position Summary The Senior Logistics & Trade Compliance Specialist serves as a subject matter expert in... ...with ERP systems (SAP, Oracle, or similar) and Microsoft Office Suite Exceptional attention to detail, analytical ability...SeniorFull timeWork at office
- ...Compliance OfficerMillTech is seeking a Compliance Officer to lead the compliance function for our New... ...assessments, testing, surveillance, and remediation of identified... ...issues.Advise senior leadership on compliance... ..., personal trading, and conflicts of interest...SurveillanceWork at officeRemote workFlexible hours
Mill Tech
New York, NY2 days ago $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$200k - $250k
...Compliance OfficerNew York, New York, United StatesThe Role... ...to hire an exceptional Trading and Systematic Advisory Compliance Officer to join our global... ...risk assessments, trade surveillance, and control evaluations... ...staff of varying roles and seniority.Firm and team first in...SurveillanceWork at officeSchonfeld
New York, NY2 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, NY1 day ago- ...Nuveen) is seeking a Sr. Quantitative Analyst to develop advanced mathematical methods for risk management, securities trading, portfolio surveillance, and global fixed income analysis. You will partner with Portfolio Managers and stakeholders to drive quant research from...SurveillanceSenior
$200k
...hedge fund is looking to make an exciting Compliance Officer hire into their New York office. The... ...Officer to assist primarily with trading and advisory, across all their asset classes... ...providing advice and guidance. Trade surveillance will also be a key part of your remit,...SurveillanceWork at office
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