Surveillance Associate

A leading full-service financial services firm is looking to bring on a Surveillance Associate to the Compliance Team to provide regulatory support to the equity trading desk. This firm receives consistent global recognition for its wealth management arm and ESG investment strategy. Title: Surveillance AssociateLocation: New York City (hybrid on-site)Salary: $100-120kyr base salary Key Responsibilities:Support the Head of Trading Compliance in ensuring all equity desk trading activity is compliant with regulatory requirements Monitor internal activity and trading behavior to identify any suspicious or fraudulent behaviorDocument any findings and escalate where appropriateCollaborate with management on key areas to develop or install controls Key Requirements:Bachelor's degree in related fieldAt least two years' experience in a compliance or surveillance role within a financial services firm Must have experience drafting or assisting drafting SARsMust have knowledge of equities trading and relevant rulesregulations

Created: 2024-11-02