Compliance Officer - Surveillance - VN2849
$125,000–$175,000 year
On-site · New York City, New York, United States
Job Summary
Surveillance Compliance Officer role focused on providing E-communications, Voice, and Trade Surveillance review for US Broker Dealer and FCM business lines across asset classes. Responsibilities include reviewing alerts to determine true positives/false positives, escalating with rationale, generating surveillance metrics, collaborating with Compliance and traders, testing data integrity in OMS/EMS systems, proposing enhancements to improve detection, and ensuring regulatory compliance with SEC, FINRA, NFA, CFTC and other exchanges. Strong understanding of financial markets, data analysis, and experience in a regulated environment are essential; Bachelor’s Degree is preferred. Strong communication, documentation, and cross-functional coordination skills are required.
Required Qualifications
- Existing Surveillance experience in a financial markets context.
- Experience working in a regulated environment and knowledge of the risk and compliance requirements associated with this.
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