Senior Trade Surveillance Lead BD & SD
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-01-01
Listing for:
Capital One
Full Time
position Listed on 2026-01-01
Job specializations:
-
Finance & Banking
Risk Manager/Analyst, Regulatory Compliance Specialist
Job Description & How to Apply Below
Location: New York
A leading financial services firm is seeking a Trade Surveillance Manager to enhance its surveillance program in New York. The role involves overseeing daily operations, ensuring regulatory compliance, and managing a surveillance team. Ideal candidates will have over 5 years of experience in trade surveillance and familiarity with SEC and FINRA regulations. The position requires strong analytical skills and the ability to work under pressure in a regulated environment.
The salary range is competitive, reflecting the qualifications required for this role.
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Position Requirements
10+ Years
work experience
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