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.