Vice President, Market Abuse Trade Surveillance

Job Description

We're seeking a future team member for the role of Vice President Market Abuse Trade Surveillance, to join our Core Compliance team. This role is located in Lake Mary, FL


In this role, you'll make an impact in the following ways:

• Analyzing and documenting the disposition of trade alerts for potential market manipulation abuses including but not limited to: Trading Ahead of News (Insider Dealing), Wash Sales, Spoofing, Marking the Open/Close
• Assisting with the management of Compliance and Regulatory risks.
• Responding to and participate in the preparation of responses to regulatory requests when required.
• Work with internal audit, compliance testing and other internal stakeholders.
• Promoting a strong regulatory mindset across the lines of business.
• Provide guidance and interpretation of regulatory requirements.
• Ensure that the control framework meets regulatory expectations and the expectations of senior management and regulators.
• Work to build control structures that support the monitoring of orders and trades to provide robust surveillance.
• Perform deep dives and identify areas that may need additional surveillance controls.
• Assist in the unification of MI and systems to drive best practice across the Controls Team.
• Create documentation to support surveillance activities.
• Ensuring documentation and systems infrastructure remain appropriate.
• Actively participate in surveillance meetings as required.
• Assist with annual parameter reviews and risk assessments as needed.

To be successful in this role, we're seeking the following:

• Relevant experience in a similar Surveillance, Control or Compliance role.
• Experience gained from a Regulatory organization would be beneficial.
• Thorough knowledge of financial markets, including equity, option, FX and fixed income products.
• Strong working knowledge of the applicable regulatory principles and rules (SEC, Finra, FCA) that govern market abuse.
• Experience operating surveillance systems, investigating potentially abusive behavior and dealing with Introducing Broker-Dealers and trading staff.
• Investigative skills and an analytical mindset are essential.
• Oral and written communication skills in English and the ability to understand compliance policies and process assigned tasks in accordance with procedures.
• Bachelor's degree or master's degree preferred.

About Us

At BNY, our culture allows us to run our company better and enables employees' growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world's investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.
Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance - and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.

About the Team

At BNY, our culture speaks for itself, check out the latest BNY news at BNY Newsroom & BNY LinkedIn

Here's a few of our recent awards:

• America's Most Innovative Companies, Fortune, 2025
• World's Most Admired Companies, Fortune 2025
• "Most Just Companies", Just Capital and CNBC, 2025

Our Benefits and Rewards:

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life's journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

BNY assesses market data to ensure a competitive compensation package for our employees. The expected base salary for this position when employment commences can be found in the Job Info section at the bottom of the posting.


Base salary offered may vary depending on multiple individualized factors, including market location, job-related knowledge, skills, and experience. Base salary is only part of the total rewards package, which may include eligibility for an annual discretionary incentive award. Subject to the terms and conditions of the applicable plans then in effect, eligible employees may enroll in a 401(k) plan as well as participate in Company-sponsored medical, dental, vision, and basic life insurance plans for the employee and the employee's eligible dependents. Eligible employees also may receive other benefits (including various paid time off benefits, such as vacation and sick time), dependent on the position offered. Details of participation in these benefit plans will be provided if an employee receives an offer of employment.

If hired, the employee will be in an "at will" position and the Company reserves the right to modify base salary (as well as any other discretionary payments or compensation programs) at any time, including for reasons related to individual performance, Company or individual department/team performance, and market factors.