Trade Surveillance & Compliance Officer
$125,000–$175,000 year
Hybrid · New York City, New York, United States
Job Summary
Trade Surveillance & Compliance Officer responsible for reviewing, investigating and dispositioning alerts generated by the firm's automated surveillance system, designing and building reports to ensure regulatory adherence, drafting Suspicious Activity Reports if required, and communicating results with Management. Requires ongoing monitoring of regulatory developments, scripting/Updating WSPs and AML programs related to Trade Surveillance, and interacting with SROs and auditors. Ideal candidates will have 3-5 years of trade surveillance experience, hands-on use of surveillance tools (with a plus for Trillium Surveyor), AML/SAR filing experience, strong writing skills, and current Series 7 and 63 licenses (to be obtained within 6 months). Location is New York, NY with a Hybrid work arrangement.
Required Qualifications
- 3-5 years experience in trade surveillance compliance at a broker-dealer, clearing firm, regulator, or firm subject to SEC/FINRA rules
- Experience with trade surveillance typologies and automated trade surveillance tools (Equity + Options)
- Experience with AML and SAR filings is a plus
- Proactive and able to work under pressure
- Effective communication and writing skills
- Series 7 and 63 within the first 6 months of joining
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.