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Atlantic Group · 17 hours ago

Trade Surveillance Compliance Analyst (Hybrid)

New York, NY

Full-time

Hybrid

Entry, Mid Level

$100K/yr - $125K/yr

2+ years exp

Atlantic Group is hiring a Trade Surveillance Compliance Analyst (Hybrid) in New York, NY for their client, supporting firm-wide trade and market surveillance and regulatory compliance. In this role, you will review surveillance alerts, investigate potential regulatory issues, and monitor trading activity across asset classes.

B2BHuman ResourcesStaffing Agency

Growth Opportunities

Responsibilities

Trade & Market Surveillance: Review trade surveillance alerts and market activity, conducting investigations to identify unusual or potentially non-compliant behavior

Electronic Communications Monitoring: Review electronic communications surveillance output to assess potential regulatory, conduct, or policy violations

Investigations & Escalations: Document findings and escalate suspicious activity or potential rule breaches to management in a timely manner

Surveillance Reporting & Analytics: Prepare recurring surveillance reports and summaries for compliance leadership, highlighting trends, risks, and outcomes

Alert Development & Compliance Projects: Support the design, testing, and enhancement of surveillance alerts while assisting with ad hoc reviews and compliance initiatives

Qualification

Trade surveillanceMarket surveillanceData analysisExcel proficiencyVBASQLAnalytical skillsCommunication skillsOrganizational skills

Required

Bachelor's degree in Finance, Economics, Business, or a related discipline required

2-5 years of experience in trade surveillance, market surveillance, or compliance roles within the financial services industry

Working knowledge of securities markets, market structure, trading activity, and relevant industry rules and regulations

Strong Excel proficiency required

Highly analytical, detail-oriented professional with strong communication and organizational skills and the ability to manage multiple priorities in a fast-paced environment