US Compliance & Surveillance Specialist
Marex
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 Broker Dealer and FCM lines, ensuring timely and accurate determinations of true or false positives. Role requires strong data analysis, English communication, and experience in a regulated environment, with focus on US rules and regulators. Salary range reflects market standards in New York, with opportunities in a global commodities #J-18808-Ljbffr Marex
$89k - $105k
Join us in building the future of finance.Our mission is to democratize finance... ...fingertips, anytime and anywhere. The Compliance Specialist will help create and champion a culture... ...practices and procedures, creating surveillance tools, responding to regulatory requests...SurveillanceWork at officeFlexible hoursShift work3 days per week$125k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ..., and conducting pre- and post-trade surveillance. Our team is essential to Point72’s... ...opportunity for a long-term career with us.What you'll doProvide advice and guidance...SurveillanceWork experience placement$145k - $175k
A Career with Point72's Compliance TeamThe Point72 Compliance department is an industry-leading... ..., and conducting pre- and post-trade surveillance. Our team is essential to Point72’s... ...opportunity for a long-term career with us.What you'll doProvide real-time compliance...SurveillanceWork experience placement$175k
Reference: 13578Senior Compliance Officer, Investec USAInvestec - Where... ...a 15a-6 broker-dealer, specialist lending desks, and global affiliates... ...Advisory, Control Room, Surveillance, IT, Operations, Research and... ...that being together enables us to live our values and support...SurveillanceFull timeWork at officeRemote work$90k - $103k
About the Opportunity MoonPay is looking for a Regulatory Compliance Specialist to join our growing Compliance team. In this role, you will support the day‑to‑day maintenance of MoonPay's US Money Transmitter License portfolio and help ensure we meet our ongoing state...SuggestedRemote workHome office- SGS Société Générale de Surveillance SA is seeking a Senior Research Associate to join its Equity Research team in New York. The role involves deep analysis of the US Payments sector and working closely with experienced Senior Analysts to become an industry expert. Candidates...Surveillance
- ...Polymer Capital Management (US), LLC is seeking a Compliance Associate to join a fast‑paced investment management environment in New York. The role... ...across SEC, CFTC, and NFA regulations. You will conduct surveillance, monitor trading activity, and support regulatory...Surveillance
$130k - $150k
...Compliance Associate Founded in 1968, Gilder Gagnon Howe & Co., LLC ("GGHC") is a registered... .... Our clients are individuals who reach us by referral and give us a portion of... ...certification processes. Employee Activity Surveillance: Conduct routine monitoring, trade...Surveillance$120k - $160k
...AML Compliance Officer AML Compliance Officer Experience: 5+ Years Location: New York... ...compliance reviews such as wire and ACH surveillance activity exception reports Assist in... ...driven, talented individuals who can help us on that journey. Working alongside our...SurveillanceImmediate startFlexible hours- ...LHH in New Jersey seeks a detail-oriented Monitoring Specialist to ensure compliance with federal, state, and local requirements within workforce programs. You will conduct surveillance of activities, implement quality improvement, review internal reports, and prepare...SurveillanceLocal area
$130k - $150k
...independence. Reports to: Vice President, Compliance Position Overview We are seeking a... ...to review Market Regulation updates and surveillance findings with our DSRO. DCO... ...and SEC rules) is a plus. Bullish US LLC&CoinDesk Inc. are committed to...SurveillanceContract work- New York City | Full-Time, 5 Days In Office A leading alternative investment manager is seeking a Trade Surveillance Compliance Specialist to join its global Compliance team. This is a highly visible role responsible for the ongoing enhancement, calibration, and oversight...SurveillanceFull timeWork at office
$130k - $160k
...Local Head of Regulatory and Corporate Compliance within the New York Branch Compliance Function... ...e-communications and employee trade surveillance, identifying conflicts or risks... ...position is 130k $- 160k $ About us We are the leading banking group in...SurveillanceLocal area- 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...SurveillanceWork at office
$160k - $250k
This role will provide Compliance coverage to the Credit Business and Infrastructure groups in the US with a focus on CLO Manager, illiquid credit, operating in close... ...and experience of Compliance monitoring and surveillance. Strong regulatory background US markets....SurveillanceLocal area- Capital One is seeking an Associate Risk Specialist in New York, NY. This role focuses on managing the Associate Surveillance Program, reviewing alerts from surveillance tools, and coordinating with compliance and business risk teams. Strong communication and regulatory...Surveillance
- ...individual to join our team as a Senior Compliance Officer. In this role, the individual will... ..., manage regulatory risk, support surveillance and control frameworks, and contribute to... ...members of the trading compliance team in the US and globally, ensuring coordination and...Surveillance
$100k - $120k
Overview A Career with Point72’s Compliance Department The Point72 Compliance department is... ...advice, and conducting pre and post trade surveillance. Our team is essential to the success of... ...opportunity for a long-term career with us. Responsibilities Conduct oversight of...SurveillanceWork experience placement$30 - $34 per hour
...) as well as tracking post-market regulatory surveillance. The candidate will be involved in horizon scanning for the US market in preparation for future regulatory requirements... ...and competitive advantages and ensuring compliance for products. Job Responsibilities: Analyze...SurveillanceLocal areaRemote work- ...Job Title: Regional Business Development Manager Location: US (Remote) or in-person New York Department: Drone Services... ...operational efficiency, with a focus on rural deliveries, surveying, surveillance and maritime services. In the US, our primary commercial focus...SurveillancePermanent employmentFull timeContract workRemote workFlexible hours
- ...of Societe Generale is looking to hire a Compliance Advisory Officer who will assume... ...York City office. This position is in the US Compliance Department and is part of the... ...Activities and Personal Investments; and Surveillance. The successful candidate must have proficient...SurveillanceWork experience placementWork at office
- Position: Compliance Officer Reports to: Group Chief Compliance Officer Location: New York... ...Lead compliance risk assessments, testing, surveillance, and remediation of identified issues.... ...practices into all our activities, making us an inclusive, welcoming, and exciting...SurveillanceWork at officeRemote workFlexible hours
$200k - $250k
...exceptional Trading and Systematic Advisory Compliance Officer to join our global compliance... ..., testing, risk assessments, trade surveillance, and control evaluations connected to your... ...complete the following survey which helps us keep track of how we are doing in our efforts...SurveillanceWork at office$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... ...Surveillance, e‑communications and voice review services to US Broker Dealer and FCM business lines. Review alerts in a...SurveillanceWork at office$80k - $110k
Neuberger is seeking an Analyst to join the Compliance Team in New York. This person will... ...Compliance. In this role, the primary focus is surveillance and monitoring, with opportunities to... .... If you would like to contact us regarding the accessibility of our website...SurveillanceLocal areaShift work$115k - $185k
Senior Regulatory Affairs Specialist (Senior IC or Manager) Lexington... ...work primarily aligned with US East Coast business hours and... ...Support ongoing regulatory compliance activities, including change... ...experience with post‑market surveillance, including complaint handling...SurveillanceFull timeLocal areaRemote workFlexible hours- ...career with opportunities to learn, grow, and make an impact. Join us! This is a key coverage and leadership role, required to... ...with the US regulators. Key responsibilities include leading a compliance and operational risk team and ensuring requirements of the Global...Temporary workWork at officeFlexible hoursShift workDay shift
$100k - $130k
...United States of America Hours: 40 Line of Business: Compliance Pay Detail: $100,000 - $130,000 USD Job Description The TDS US Compliance team is looking for Associate-level candidates to join the Equities Trade Surveillance team. Preferred 3-5 years of experience in...SurveillanceWork experience placementWork at officeLocal areaFlexible hours$70k - $145k
Compliance AnalystAbout Millennium Millennium is a global, diversified alternative investment firm, founded in 1989. Defined by evolution... ...across policies, procedures, processes, systems, controls, surveillance, testing, and reporting. The team works to help prevent and...Surveillance$81.4k - $151.8k
...Street Job Family Group Audit, Risk & Compliance The Capital Markets Senior Compliance Officer... ...ongoing risk assessment, monitoring and surveillance activities to ensure that the Compliance... ...$151,800.00 Pay Type: Salaried About Us At BMO we are driven by a shared Purpose...SurveillanceLocal area
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