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Mizuho Corporate Bank
New York, NY, United States
About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to condu
Job Source: Mizuho Corporate BankPhyton Talent Advisors
New York, NY, United States
Our client a top tier international investment banking firm is seeking a Compliance Surveillance specialist to join their growing team. You will be responsible for monitoring trading across all asset classes to detect activities that could adversely impact the firm and its reputation. You will work closely with experienced staff to develop skills i
Job Source: Phyton Talent AdvisorsMizuho Financial
New York, NY, United States
About the Role The individual will be joining the Compliance Surveillance team. The surveillance team is responsible for monitoring trading in all asset classes, to detect trading activity that could adversely affect the firm and its reputation. The surveillance professional will work closely with experienced staff and develop the capacity to cond
Job Source: Mizuho FinancialMarex Spectron
New York, NY, United States
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investm
Job Source: Marex SpectronHamlyn Williams
New York, NY, United States
Surveillance Compliance Officer New York, NY – Hybrid Hamlyn Williams have partnered with a global financial services platform, based in New York, NY, that are looking to hire a Surveillance Compliance officer. This role is on a hybrid basis three days per-week on site. If you are not able to work on site, please do not apply. As a Surveillance Com
Job Source: Hamlyn WilliamsMarex, Inc.
New York, NY, United States
Diversified. Resilient. Dynamic. Marex is a global financial services platform, providing essential liquidity, market access and infrastructure services to clients in the energy, commodities and financial markets. The Group provides comprehensive breadth and depth of coverage across four core services: Market Making, Clearing, Hedging and Investmen
Job Source: Marex, Inc.Hamlyn Williams
, NY, United States
A broker-dealer client of ours with a global presence is looking for a Surveillance Compliance Officer to join their growing team in Manhattan, New York. This position is hybrid, with 3-4 days a week onsite and 1-2 days working from home. Role / Responsibilities: Perform electronic communications (e-comm) surveillance reviews of both Trade and Vo
Job Source: Hamlyn WilliamsBanco Santander SA
New York, NY, United States
Vice President, Compliance – Trade Surveillance page is loaded Vice President, Compliance – Trade Surveillance Apply locations Madison Ave Corp time type Full time posted on Posted 2 Days Ago job requisition id Req1333620 Vice President, Compliance – Trade SurveillanceCountry: United States of America This Trade Surveillance role is an i
Job Source: Banco Santander SANew York, NY, United States
Position Overview:
As a Senior Trade Surveillance Compliance Officer, you will play a crucial role in ensuring that our firm adheres to regulatory requirements and internal policies related to trade surveillance. You will be responsible for monitoring trading activities, detecting potential violations, and implementing measures to mitigate risks. This position requires a deep understanding of securities regulations, market dynamics, and trading practices.
Key Responsibilities:
Conduct comprehensive surveillance of trading activities to identify potential market abuse, insider trading, front-running, and other regulatory violations.
Utilize advanced surveillance tools and techniques to monitor trading patterns, order flows, and market behaviors.
Analyze trading data and alerts generated by surveillance systems to assess the significance of potential violations and escalate issues as necessary.
Collaborate with other teams, such as operation, technology and customer services, to investigate suspicious activities and implement appropriate remedial actions.
Develop and maintain surveillance policies, procedures, and controls to ensure compliance with regulatory requirements and industry best practices.
Stay abreast of evolving regulatory developments, market trends, and technological advancements to enhance surveillance capabilities and adapt to changing risk landscapes.
Provide guidance and training to junior staff members on surveillance techniques, regulatory compliance, and industry standards.
Prepare reports and presentations for senior management, regulatory authorities, and internal audit functions to communicate surveillance findings and recommendations.
Work with the other colleagues to report and fix CAT and CAIS problems.
Provide guidance and training to junior staff members on CAT and CAIS compliance, surveillance techniques, regulatory requirements, and industry standards.
Prepare reports and presentations for senior management, regulatory authorities, and internal audit functions to communicate surveillance findings and recommendations, with a specific focus on CAT and CAIS compliance.
Qualifications:
Bachelor's degree in finance, economics, accounting, or a related field. Advanced degree or professional certification (e.g., CFA, CAMS, CRCM) is a plus.
Minimum of 10 years of experience in trade surveillance, compliance, or a relevant area within the financial services industry, preferably within a broker-dealer or regulatory agency.
In-depth knowledge of securities regulations, including but not limited to SEC, FINRA, and CFTC rules governing trading activities and market conduct.
Proficiency in using trade surveillance systems, market data platforms, and analytical tools to identify suspicious activities and trends.
Strong analytical skills with the ability to interpret complex data sets and identify meaningful insights.
Excellent communication and interpersonal skills, with the ability to effectively collaborate with cross-functional teams and communicate complex concepts to non-technical stakeholders.
Proven track record of managing multiple projects simultaneously and delivering high-quality results under tight deadlines.
Demonstrated commitment to integrity, professionalism, and ethical conduct in all aspects of work.
Email Alert for Trade Surveillance Compliance Officer jobs in New York, NY, United States
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