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 Associate
Location: New York City (hybrid on-site)
Salary: $100-120k/yr 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 behavior
- Document any findings and escalate where appropriate
- Collaborate with management on key areas to develop or install controls
Key Requirements:
- Bachelor's degree in related field
- At least two years' experience in a compliance or surveillance role within a financial services firm
- Must have experience drafting or assisting drafting SARs
- Must have knowledge of equities trading and relevant rules/regulations
