Trade Surveillance Associate

Compliance Professional

Broker dealer client is seeking compliance professional to join their team focused on managing regulatory risk across multiple broker-dealer business lines. This role requires strong knowledge of SEC, client, and client rules, as well as hands-on experience with trade surveillance and compliance monitoring systems.

Responsibilities

• Conduct daily trade monitoring and surveillance to identify potential market abuse, manipulation, or other suspicious activities
• Investigate alerts and escalate potential issues in alignment with regulatory requirements
• Collaborate with IT and project teams to design, enhance, and implement surveillance systems and tools
• Maintain and update surveillance procedures, internal guides, and system documentation
• Partner with AML and compliance officers on reviews of questionable transactions
• Manage and resolve system-generated alerts; monitor and improve alert quality
• Support client CAT reporting and contribute to regulatory submissions
• Stay informed of regulatory developments to ensure ongoing compliance and process enhancement

Qualifications