Surveillance Associate
Surveillance Associate - Global Investment Bank (Hybrid, NYC)
Salary Range: $100,000 - $120,000
Our client, a leading global investment bank, is seeking a Surveillance Associate to join its Compliance Department. This role is a key part of the Surveillance team, responsible for monitoring trading activity, investigating potential rule violations, and supporting the firm's regulatory framework.
Based in Manhattan, the position follows a hybrid schedule (remote Mondays and Fridays) and reports directly to the Head of Surveillance and Trading Compliance.
Key Responsibilities
Review trading reports to ensure compliance with equities market regulations
Independently monitor trading behavior to detect inappropriate or fraudulent activity
Conduct thorough investigations and document findings
Escalate issues to senior management and support regulatory filings
Collaborate with IT and other departments to improve surveillance tools
Present compliance topics to trading teams and support ongoing education
Contribute to action plans that enhance regulatory controls
Candidate Profile
Required:
Minimum 2 years' experience in a regulatory or compliance role
Strong understanding of equities trading and surveillance procedures
Preferred:
Legal training or direct experience with regulatory bodies
Familiarity with options trading
Core Competencies:
Excellent written and verbal communication skills
Strong analytical and time management abilities
Attention to detail and intellectual curiosity
Confident presentation skills and collaborative mindset
Culture & Values
This opportunity is with a client that values ethical performance, innovation, and inclusivity. With a global presence across 10 countries, the firm fosters a respectful and diverse workplace where individuals are empowered to thrive and contribute meaningfully. Employees are encouraged to take initiative, share ideas, and make a measurable impact.
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