Surveillance Compliance Analyst - Trading & Automation
$125k - $175kPhaxis
Phaxis, located in New York, NY, is seeking a Compliance Surveillance Analyst to join their Compliance team. This role is crucial for conducting trading and communication surveillance, addressing compliance issues, and enhancing processes. The ideal candidate will have a bachelor's degree, 2+ years of experience in the financial sector, and strong analytical capabilities. A competitive salary range of $125,000-$175,000 is offered, based on experience. #J-18808-Ljbffr Phaxis
- Daiwa-Securities-Group, based in New York City, is hiring a Trading and Surveillance Compliance Specialist. This role involves monitoring trading activities, ensuring regulatory compliance and improving trade surveillance operations. The ideal candidate will hold a Bachelor...Surveillance
- A leading broker-dealer firm is seeking a Compliance Analyst to join their small team. The ideal candidate will have 1-3 years of experience in broker-dealer compliance, assisting in surveillance of trading activity, updating policies, and handling regulatory reporting...Surveillance
- Crypto.com is seeking a full‑time Analyst for its Market Regulation team to monitor and enforce trading rules on its US derivatives platform. This remote role involves real‑time surveillance, investigations, and regulatory reporting, with exposure to SEC, CFTC, FINRA rules...SurveillanceRemote jobFull timeWeekend workAfternoon shift
$100k - $120k
Overview A Career with Point72’s Compliance Department The Point72 Compliance department... ...professionals that supports global investment and trading activities by establishing and... ..., and conducting pre and post trade surveillance. Our team is essential to the success of...SurveillanceWork experience placement$125k - $175k
...Overview High frequency trading firm is seeking a Compliance Surveillance Analyst to join their Compliance team. This role is instrumental in conducting trading... .... Lead and support initiatives focused on automation, analytics, and process optimization within compliance...Surveillance$125k - $165k
## Compliance OfficerApplylocations: NYC 250 Park (AMO)time type: Full timeposted on: Posted... ...* Conduct various day-to-day compliance surveillance activities including Code of Ethics and... ...supervision and enforcement (including personal trade review and monitoring, distribution and...SurveillanceWork experience placementWork at officeLocal areaRemote workWorldwide- ...seeking a detail-oriented and collaborative Compliance Associate to support a broad range of... .... Conduct compliance monitoring, surveillance, and testing activities, including electronic... ...communications reviews, personal trading surveillance, investment guideline monitoring...SurveillanceWork at office
$120k - $140k
...other major U.S. exchanges. Our main focus is on the sales and trading of Japanese, Asian, and U.S. equities, fixed income... ...services groups in Japan. Position Summary: The Trading and Surveillance Compliance Specialist supports the front office sales and trading desks...SurveillanceFull timeTemporary workWork at officeLocal areaRemote workFlexible hours3 days per week- ...global hedge fund, seeks a Compliance Officer for its New York office... ...generalist role focuses on trading/advisory work, with autonomy... ...PMs and contribute to surveillance and core compliance. Strong... ...have the opportunity to lead automation initiatives and help build a...SurveillanceWork at office
$125k - $175k
A Career with Point72's Compliance Team The Point72 Compliance department is an industry-... ...professionals who support global investment and trading activities by establishing and... ...advice, and conducting pre- and post-trade surveillance. Our team is essential to Point72’s...SurveillanceWork experience placement$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... .... Perform electronic communications surveillance and trade reconstructions. Draft...SurveillanceTemporary workWork at officeImmediate start- ...Solidus, we are shaping the financial markets of tomorrow by providing cutting-edge trade surveillance technology that protects investors, enhances transparency, and ensures regulatory compliance across traditional financial assets and crypto markets. With over 20 years...SurveillanceWorldwide
$150k - $200k
...Description Robert Half Financial Services is recruiting for a Compliance Officer role for an International Broker Dealer and... ...Global Collaboration: Collaborate with Legal, Control Room, Surveillance, IT, Operations, and third-party vendors Work closely with...SurveillanceWork at officeRemote work$100k - $130k
...Overview Our client is looking to fill their Senior Compliance Analyst role and they're in need of someone who has a deep knowledge of SEC... ...Assist draft business specifications to create and improve surveillance and compliance tools Assist coordinate responses to...SurveillanceFull time$70k - $145k
...Compliance Analyst About Millennium Millennium is a global, diversified alternative... ..., processes, systems, controls, surveillance, testing, and reporting. The team works... ...What You'll Do Conduct trade surveillance reviews with a focus on identifying...Surveillance- 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...SurveillanceRemote job
- ...tier investment management firm is looking for a full-time Compliance Analyst in New York City. The ideal candidate will have a Bachelor'... ...Investment or Asset Manager. Key responsibilities include portfolio surveillance and ensuring adherence to client guidelines and regulatory...SurveillanceFull time
- ...focused organization seeking a Compliance Analyst to join its growing compliance... ...offers exposure to a sophisticated trading environment and supports... ...Develop, maintain, and review automated compliance monitoring reports and surveillance tools Monitor business activity...SurveillanceWork at office
- ...LLC is seeking a Monitoring & Testing Associate to join its Compliance team in New York. This role involves evaluating business activities... ...policies. The ideal candidate will support risk assessments, surveillance reviews, and regulatory inquiries, contributing to the firm's...Surveillance
- ...consulting firm based in Midtown Manhattan, is seeking a Compliance Analyst to join their team. This role follows a hybrid... ...internal controls, governance frameworks, operations, and trade/communication surveillance systems. Prepare written reports for clients on regulatory...SurveillanceWork at office
- ...transcripts, expert calls, news, trade journals, and clients’ own... ...and needs a Senior Compliance Analyst to be the operational engine... ...throughout Stage 1, Stage 2, and surveillance cycles. You will partner... ..., but as a continuous, automated, and strategically integrated...Surveillance
- ...Firm is seeking a junior to mid-level Compliance Officer to provide real-time advice and... ...Provide real-time advice and guidance to trading and sales force on regulatory... ...metrics. Conduct electronic communications surveillance and trade reconstructions. Draft responses...SurveillanceFull timeWork at office
- ...products, headwear, and hardgoods; collect physical and digital trading cards, sports memorabilia, and other digital assets; and bet... ...York with offices in Denver, Leeds and Dublin. Overview As Compliance Analyst at Fanatics Betting & Gaming, you will support the...Full timeSeasonal work
- ...responsible for ensuring the safety of Company assets and delivering excellent customer service. The role involves working with surveillance to prevent theft, apprehending suspects, and interacting positively with customers. The ideal candidate must be able to lift weights...Surveillance
- ...Polymarket AML Compliance Officer Polymarket is the world's largest prediction market platform. We enable individuals to express views on real-world events by trading on outcomes across politics, economics, sports, culture, and current affairs. Built as a peer-to-peer...Contract work
- ...SENIOR TECHNOLOGY CONTROLS AND COMPLIANCE ANALYST- REMOTE Job Summary Compass Group North America has an exciting opportunity in the... ...documentation as needed. Assist in identifying and implementing automation opportunities to proactively validate compliance. Support...Local areaRemote workFlexible hours
$70k - $160k
...Position Details Assist with the administration of the Firm’s global Quantitative Trading Compliance program, including the initial vetting and ongoing review of portfolio management teams against the Firm’s Algorithmic Trading Policy Monitor regulatory changes, updates...$90k - $120k
..., delivering custody, wallets, staking, trading, financing, and settlement services from... ...program. The role focuses on propelling automation of transaction monitoring systems and investigation... ...parties. Collaborate with the wider Compliance team on program enhancements such as...Worldwide- TWG Group Holdings, LLC (TWG Global) seeks a VP of Market Surveillance to lead real-time and post-trade surveillance for a CFTC-regulated DCM. You will shape detection logic, oversee investigations, and build scalable processes across regulated sports event contracts. The...Surveillance
$159.4k - $181.9k
...services company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance... ...leading daily operations and ensuring compliance with regulatory requirements, while also managing and developing a team of analysts. Candidates should have expertise in...Surveillance
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