Trade Surveillance Analyst
$110,000–$120,000 year
Hybrid · New York City, New York, United States
Job Summary
Trade Surveillance Analyst responsible for monitoring trading across equities, options, and ETFs for potential violations of securities laws and firm policy. Review alerts and exception reports, produce defensible disposition narratives, calibrate surveillance scenarios and thresholds, and support regulatory inquiries by FINRA, the SEC, and exchanges. Leverage AI to draft and refine SQL/Python analyses in Databricks; bring conceptual data fluency and market curiosity to understand venues, liquidity, and order flow. Role requires hands-on surveillance experience at a FINRA-registered firm, familiarity with fractional or B2B trading dynamics, and Series 7/24 (or equivalent) licensing. NY-based hybrid position with in-office cadence; compensation $110,000–$120,000 plus benefits and equity.
Required Qualifications
- Real Surveillance Experience
- Hands-on trade and market surveillance experience at a FINRA-registered broker-dealer, exchange, or SRO
- Investigated alerts and dispositions with defendable logic
- AI fluency to draft, summarize, and iterate
- Conceptual data fluency; understanding of data structures and queries
- Market curiosity and knowledge of venues, liquidity, order flow, price formation
- Series 7/24 or equivalent (sponsorship available)
- New York, NY - Hybrid work arrangement
- Willingness to work in-office at least part-time in NY
- Work authorization in the United States without need for visa sponsorship
Apply with one swipe on Sorce. We auto-fill applications and apply on your behalf — no cover letters, no 40-minute forms.
Hiring someone like this?
Get your role in front of qualified candidates on Sorce.