Compliance Manager - General

This role sits within a Market Surveillance & Compliance function supporting broker-dealer and digital trading platforms across multiple asset classes. You’ll play a key role in identifying, investigating, and escalating potentially manipulative or violative trading activity — working daily with tools like Nasdaq SMARTS and engaging closely with internal stakeholders and regulators.

In this role, you’ll:

• Lead and oversee trade surveillance across products and asset classes
• Investigate new accounts and trading activity in line with compliance procedures
• Identify, escalation, and act on potential market manipulation or regulatory concerns
• Support and implement AML/KYC risk assessments, particularly for higher-risk clients
• Review electronic communications, social media, marketing materials, and outside business activities
• Manage FINRA Gateway registrations and ongoing regulatory requirements
• Partner on regulatory initiatives, audits, and compliance projects
• Coach and guide team members while remaining hands-on with daily surveillance activity

You’re likely a strong fit if you bring:

• 3–5 years of experience in compliance or market surveillance
• Hands-on experience with Nasdaq SMARTS
• Strong understanding of U.S. securities market structure
• FINRA Series 7 & 24 (Series 4 preferred or required shortly after joining)
• Excellent written and verbal communication skills
• The confidence to make judgment calls and elevate when needed

What’s on offer:

• Competitive compensation with performance-based bonuses
• 401(k) with employer contribution
• Generous PTO and paid holidays
• Clear opportunities for professional growth in a fast-moving environment

📩 If you’re open to a confidential conversation about a high-impact compliance role in Jersey City, feel free to reach out or apply directly.