Compliance Analyst – Trade Surveillance
Core
Monitor trading activity, conduct investigations, and perform regulatory reporting for trade surveillance and anti-money laundering (AML) programs across broker-dealer and market-making operations.
Role type
mid-level IC compliance analyst (trade surveillance & AML)
Builds
surveillance alerts, investigation reports, SAR filings, and compliance metrics for Equity Capital Markets and equities business lines
Domain
Financial services / Securities trading / Anti-Money Laundering
Required skills
securities trading knowledge, FINRA/SEC regulations, surveillance alert investigation, trading pattern analysis, AML case file preparation, SAR drafting, regulatory examination support, policy enhancement
Preferred skills
institutional broker-dealer experience, market-making environment familiarity, trade surveillance platform experience, Abel Noser or Trading Technologies familiarity, FINRA Series 7/24/99, CAMS certification
Technologies
CAT data, order management systems, market data, Excel, Power BI
Responsibilities
Review surveillance alerts and investigate potential market-conduct concerns; Analyze trading patterns using surveillance platforms and market data; Review customer transactions for AML indicators; Draft SAR narratives and track reporting deadlines; Prepare surveillance and AML metrics for leadership; Identify emerging regulatory risks and recommend control enhancements; Provide guidance to front-office and Operations teams; Assist with regulatory examinations and audits.
Seniority
Mid-level, hands-on IC