Regulatory Associate: Market Surveillance & Compliance
National Geographic
DraftKings in Boston is seeking an Associate, Regulation to safeguard the integrity of its prediction markets. You’ll work at the intersection of regulation, surveillance, and operations to ensure markets are fair and compliant. You will support day-to-day trade practice surveillance, regulatory filings, and policy updates, with rotating shifts during live market hours. A background in market regulation or compliance is required. #J-18808-Ljbffr National Geographic
- ...Securities is seeking an Associate for Regulatory and Supervisory Management... ...supports TD Securities' Global Markets sales, trading, and... ...controls, and regulatory compliance. The position requires a Bachelor... ...preferred familiarity in surveillance tools like Behavox, Smarsh...Surveillance
- ...division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm... ...landscape. Global Banking & Markets-Public Compliance (“GBM Public Compliance... ...handle escalations from daily trade surveillance reports SKILLS AND EXPERIENCE WE ARE...SurveillanceWork experience placementFlexible hours
- ...management firm, is looking to add a compliance officer to support their marketing compliance initiative. This role will... ...responsibilities such as testing and surveillance as well. Responsibilities: Act as a key resource on regulatory requirements under the Investment Advisers...Surveillance
$111k - $140k
...institutional access to the crypto markets. Operating at the intersection of... ...Position Summary FalconX is seeking a Compliance Associate, Markets Surveillance to join our Compliance team and... ...our platform meets the highest regulatory standards across the jurisdictions...SurveillanceFull timeContract workLocal areaShift work- FalconX in New York City seeks a Compliance Associate, Markets Surveillance to independently investigate trade surveillance alerts, assist with token and... ..., monitor market conduct, and ensure adherence to regulatory standards across jurisdictions. #J-18808-Ljbffr FalconxSurveillance
- ...clients currently seeking to add an Associate to their growing global Compliance Team. Ideal candidate will be... ...limited to Legal, Compliance, and Regulatory. This individual will also be responsible... ...Monitor compliance testing and surveillance Assist in researching and...Surveillance
$70k - $145k
Compliance AnalystAbout Millennium Millennium is a global, diversified... ..., systems, controls, surveillance, testing, and reporting. The... ...of applicable laws, rules, regulatory requirements, and firm policies... ...focus on identifying potential market manipulation and insider...Surveillance$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department... ...pre- and post-trade surveillance. Our team is essential to Point... ...foreign exchange, emerging markets, credit, asset-backed securities... ...solutionsAssist with regulatory readiness efforts and contribute...SurveillanceWork experience placement$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department... ...pre- and post-trade surveillance. Our team is essential to Point... ...trading strategies, products, and market access to ensure compliant... ...projects driven by regulatory change or internal initiatives...SurveillanceWork experience placement$70k - $160k
Compliance Analyst - Control RoomAbout MillenniumMillennium is a global... ..., systems, controls, surveillance, testing and reporting designed... ...of applicable laws, rules, regulatory requirements and firm policies... ...with a focus on potential market manipulation and insider trading...Surveillance- ...division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm... ...:The role of a Global Banking & Markets Public Compliance officer is to assist... ...audits and inquiriesPerform oversight of surveillances and programmatic reviews to assess...Surveillance
- ...experienced risk analyst to conduct in-depth research and analysis of market, credit, and trading data to identify risks and develop... ...issues as appropriate while collaborating with market risk, surveillance, and other departments. #J-18808-Ljbffr Informatic Technologies...Surveillance
- Reference: 13578Senior Compliance Officer, Investec... ...doing?Provide day-to-day regulatory and policy advice to... ...a focus on equity markets.Advise on U.S. securities... ..., Control Room, Surveillance, IT, Operations, Research... ...to the Compliance Associate, fostering strong performance...SurveillanceFull timeWork at officeRemote work
- TWG Global is hiring a VP of Market Surveillance to lead hands-on monitoring across a CFTC-regulated... ...reports, bringing exchange-side and regulatory expertise to the table. This builder... ...ability to collaborate with Legal, Risk, Compliance, and Engineering. On-site in New York...Surveillance
$150k - $200k
...goals, and navigate complex markets together. We leverage cutting... ...will support the firm's compliance program across registered private... ...adherence to applicable regulatory requirements and internal policies... ...compliance testing and surveillance activities related to private...SurveillanceFull timeLocal area3 days per week$89k - $105k
...fingertips, anytime and anywhere. The Compliance Specialist will help create and... ...and procedures, creating surveillance tools, responding to regulatory requests and required filings, and... ...experience, location, business needs, or market demands. The expected base pay range...SurveillanceWork at officeFlexible hoursShift work3 days per week- Gemini is seeking a Head of Compliance for Gemini Galactic Markets, LLC to lead broker‑dealer and FCM compliance... ...demands hands‑on development of surveillance, reporting, and written procedures... ...will oversee risk, AML, and regulatory filings, guiding cross‑functional...SurveillanceRemote work
$160k - $250k
...Compliance Officer About Millennium Millennium is a... ...processes, systems, controls, surveillance, testing, and reporting. The... ...of applicable laws, rules, regulatory requirements, and firm policies... ...on identifying potential market manipulation and insider trading...Surveillance$97.2k - $195k
...second line of defense compliance and operational risk... ...while responding to regulatory inquiries, other audits... ...risks, controls, and associated metrics for risk... ...the relevant products, markets and venues, and other... ...Independent Testing through surveillance activity undertaken...SurveillanceFull timeWork at officeLocal areaFlexible hoursDay shift$120k - $205k
...President in Global Compliance to support the Compliance... ...management of legal, regulatory and franchise risk.... ...and Global Capital Markets. The team provides timely... ..., testing and surveillance of Research-related regulatory... ...inherent conflicts associated with Research,...SurveillanceTemporary work$200k - $250k
...Compliance Officer New York, New York, United States... ...that apply to the market infrastructure, and investment... ...models, and the associated technology stacks... ...risk assessments, trade surveillance, and control... ...examinations Track and lead regulatory change initiatives...SurveillanceWork at office- Marex invites a Surveillance professional to join our US Compliance team in New York. You will review Trade, E-communications, and Voice surveillance for US... ...focus on US rules and regulators. Salary range reflects market standards in New York, with opportunities in a...Surveillance
$120k - $160k
...AML Compliance Officer Experience: 5+ Years Location: New York... ...the needs of today's dynamic market participants. Built entirely... ...its platform, adapt to regulatory changes, and offer a more efficient... ...such as wire and ACH surveillance activity exception reports...SurveillanceImmediate startFlexible hours$139.3k - $212.5k
...direction of applicable market related risk... ...support groups (i.e., Compliance, Finance, Operations,... ...identified, as well as regulatory requirements, as applicableProvides... ...for managing associates. At Bank of America,... ..., Surveillance, and TestingRegulatory...SurveillanceFull timeWork at officeLocal areaFlexible hoursDay shift$80k - $110k
...seeking an Analyst to join the Compliance Team in New York. This... ...role, the primary focus is surveillance and monitoring, with opportunities... ...plus Prepare and submit regulatory filings (i.e., Form13G and 1... ...or revenue-based metrics, market benchmarking data, any collective...SurveillanceLocal areaShift work$100k - $140k
...Job Title Compliance Specialist Job Description... ...Responsibilities Review marketing materials, investor... ...communication surveillance activities, including... ...regarding firm policies and regulatory requirements.... ...dealer registrations and associated regulatory records....SurveillancePermanent employmentContract workLocal area- ...Product Marketing Manager Solidus Labs sits at the intersection of every major shift... ...right now. We build market integrity and compliance technology for traditional finance,... ...agentic AI is changing how compliance and surveillance work gets done, and we're building for...SurveillanceShift work
$130k - $150k
...Reports to: Vice President, Compliance Position Overview We... ...remain at the forefront of regulatory excellence. This dual-entity... ...(Designated Contract Market) Help maintain and update... ...Market Regulation updates and surveillance findings with our DSRO....SurveillanceContract work- iRhythm Technologies, Inc. is seeking a Senior Regulatory Affairs Specialist to lead global regulatory strategies... ...You will interact with authorities, ensure lifecycle compliance, and contribute to post-market surveillance. 3 years of experience and knowledge of major...SurveillanceRemote job
$110k - $158k
...monitoring applicable market related risks taken... ...support groups (i.e., Compliance, Finance, Operations,... ...identified, as well as regulatory requirements, as... ...business activities and associated risks.Support new product... ..., Surveillance, and TestingRegulatory...SurveillanceFull timeWork at officeFlexible hoursDay shift
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