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Company Contact Info

  • New York, NY
  • Ivan Pulido

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New York, NY

Posted 6 days ago

Job Snapshot

Travel - Up to 25%
Experience - At least 7 year(s)
Degree - 2 Year Degree
Banking - Financial Services


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Job Description



Multiple locations (NY, NJ, CT)

A Large Global Investment Company is looking to hire a Trade Surveillance Assocaite.

  • Ensure that the U.S. operations of The Company and their affiliates have a robust compliance monitoring and surveillance program
  • Develop and manage trade analytics to spot potential issues
  • Work with global monitoring and surveillance colleagues and surveillance technology teams to identify enhancements to surveillance logic, reports, and workflow through data analysis, and define requirements, new and enhanced workflow processes, and procedures that enhance the controls/quality of the monitoring and surveillance program
  • Analyzing trade sequences for conduct inconsistent with regulatory rules, partnering with product compliance to resolve questionable trading patterns, and periodic monitoring of surveillance output to ensure optimal quality
  • Conducting data analysis to ensure the right data inputs are available for the surveillance to function
  • Conduct reviews of reports related to trading, transaction reporting and communications to identify unusual activity or potential violations of rules or firm policies.
  • Maintain an awareness of and monitor the regulatory environment for new and emerging legislation, policy statements, relevant trends and industry best practices and determine how they impact monitoring and surveillance.
  • Conduct daily surveillance of ‘forensic type’ investigations linking various surveillance tools together: knowledge of Actimize, Smarts Broker & Bloomberg a plus
  • Ability to perform, in conjunction with the other members of Business Line Compliance staff, quantitative and qualitative reviews of specific business areas.
  • Ad-hoc requests, special projects and regulatory exams in conjunction with other teams.

Job Requirements


  • Candidate must be Data-driven and detail oriented, who can thrive in a fast-paced environment. The individual must be inquisitive and pro-active.
  • Experience in a trade surveillance team is preferred
  • Bachelor’s degree is preferred
  • Experience in regulatory, audit, compliance, risk or surveillance role
  • Understanding of Investment Products (Capital Markets)
  • Ability to communicate issues to Senior Management in an effective manner
  • +5 years working in a Compliance role (ideally 10+ years in Capital Markets)

Ivan Pulido

Ascendo Resources

Sr. Executive Recruiter

Financial services

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