Surveillance Analyst - Broker Dealer Compliance

This range is provided by Phaxis. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$/yr - $/yr

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Compliance, Fincrime, & Risk Management | Talent Acquisition, Relationship Building

We are seeking a detail-oriented Compliance Surveillance Analyst to support our risk and compliance operations. This role involves working closely with internal teams to monitor trading activity, address potential regulatory concerns, and support the development of effective solutions. The ideal candidate is proactive, solutions-driven, and thrives in a collaborative, fast-paced environment.

Key Responsibilities:

• Design and execute surveillance reviews across various business lines and subject areas.
• Partner with internal inquiry and investigative teams to support regulatory responses and internal reviews.
• Identify areas for process improvement and contribute to the automation and enhancement of surveillance workflows.
• Collaborate with trading, technology, and compliance personnel to investigate and resolve surveillance findings.
• Use data to identify behavioral patterns, risks, and trends across trading activity.

Qualifications:

• Bachelor’s degree preferred, though equivalent industry experience will also be considered.
• 2–6 years of experience in financial services, fintech, or with a regulatory agency.
• Familiarity with broker-dealer regulations and rules from the SEC, CFTC, FINRA, or other relevant regulatory bodies.
• Prior experience reviewing trading activity across multiple asset classes, such as equities, derivatives, FX, crypto, and fixed income products.
• Excellent written and verbal communication skills, with the ability to work independently and within cross-functional teams.
• Experience with data tools or programming languages (e.g., SQL, Python) is a plus.

Seniority level

• Seniority level
  
  Mid-Senior level

Employment type

• Employment type
  
  Full-time

Job function

• Job function Finance
• Industries Financial Services, Investment Banking, and Capital Markets

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