Compliance Surveillance Analyst in Weehawken

Trading Surveillance / Compliance

Key Responsibilities:

• Maintain and monitor employee brokerage accounts, including onboarding, account disclosures, and coordination with brokerage firms.
• Establish and remove brokerage accounts from electronic data feeds and ensure the continual receipt of brokerage data.
• Track and review statements for non-feeding accounts and accounts in transition.
• Conduct trading surveillance related to employee personal trading, employees brought over the wall, and firm trading activity.
• Monitor activity against watch lists and restricted lists and identify potential compliance concerns.
• Analyze trading data and perform and develop surveillance reviews.
• Prepare trading data and analysis for Key Risk reporting and respond to Internal Audit requests.
• Assess Public/Private access requirements and support information barrier controls.
• Provide policy guidance and respond to inquiries from employees, vendors, and business partners.
• Participate in regulatory exams, ad-hoc requests, and special projects across Compliance and Legal.
• Identify, escalate, manage, and report compliance and control issues appropriately.
• Operate independently with limited supervision and exercise sound judgment when assessing risk.
• Serve as a subject matter expert to senior stakeholders and other team members.

Qualifications:

• General knowledge of insider trading laws, regulations, and associated compliance risks.
• Experience handling compliance matters within a U.S. financial institution.
• Experience with trading surveillance, insider trading monitoring, employee personal trading, watch/restricted lists, information barriers, and wall crossings.
• Knowledge of compliance policies, procedures, and controls.
• Strong research and analytical skills with the ability to analyze trading data and identify potential issues.
• Strong organizational and project management skills with the ability to manage multiple priorities.
• Excellent written and verbal communication skills.
• Ability to work independently as well as collaboratively across different levels of an organization.
• Self-starter who is flexible, adaptable, and comfortable working in a fast-paced environment.
• Proficiency with Microsoft Office, including Excel, Word, and PowerPoint.
• Strong ability to leverage technology within a compliance and surveillance environment.

Education & Preferred Background:

• Bachelor's degree required.
• Experience with in a financial services firm, regulatory organization, or legal/consulting firm.
• Advanced degree and/or FINRA licenses preferred.