Job Overview – Trade Surveillance Compliance Analyst (Hybrid)
Compensation: $100,000 – $125,000/year base ($150,000 All-In)
Location: New York, NY
Schedule: Monday to Friday (Hybrid)
Atlantic Group is hiring a Trade Surveillance Compliance Analyst (Hybrid) in New York, NY for our 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. You will partner closely with compliance leadership and business stakeholders while leveraging surveillance systems, data analysis, and reporting tools to identify risk and strengthen control frameworks.
Responsibilities as the Trade Surveillance Compliance Analyst:
- 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.
Qualifications for the Trade Surveillance Compliance Analyst:
- Education: Bachelor’s degree in Finance, Economics, Business, or a related discipline required.
- Experience: 2-5 years of experience in trade surveillance, market surveillance, or compliance roles within the financial services industry.
- Industry Knowledge: Working knowledge of securities markets, market structure, trading activity, and relevant industry rules and regulations.
- Technical Skills: Strong Excel proficiency required, with experience using VBA, SQL, or other data analysis tools preferred.
- Skills & Attributes: Highly analytical, detail-oriented professional with strong communication and organizational skills and the ability to manage multiple priorities in a fast-paced environment.
Application Notice: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, Atlantic Group will keep your resume on file for future opportunities and may contact you for further discussion.