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About the Role
This role is focused on employee trading surveillance, personal brokerage account monitoring, insider trading controls, information barriers, and regulatory compliance within a global investment bank.
Responsibilities
- Monitor employee brokerage accounts and personal trading activity.
- Conduct trade surveillance involving employee trading, wall crossings, and firm trading.
- Monitor watch lists and restricted lists.
- Review brokerage statements and electronic account data feeds.
- Support insider trading surveillance and information barrier controls.
- Analyze trading data for key risk reporting and Internal Audit requests.
- Assess Public/Private access requirements.
- Provide compliance policy guidance and support regulatory examinations.
- Identify, escalate, and report compliance and control issues.
Requirements
- 3–5+ years of Compliance Surveillance experience.
- Experience within a U.S. bank, investment bank, broker-dealer, or financial institution.
- Hands-on experience with employee trading/personal account dealing surveillance.
- Knowledge of insider trading regulations, watch/restricted lists, and information wall crossings.
- Strong analytical, research, and Excel skills.
- Bachelor’s degree.
Skills
- Compliance Surveillance
- Trade Surveillance
- Trading Surveillance
- Employee Trading
- Personal Account Dealing
- Insider Trading
- Compliance Analyst
- Investment Banking
- Broker Dealer
- FINRA
- Excel
Location
- Midtown NYC
Work Type
- Hybrid
- Contract
Experience Level
- Experienced
Education Level
- Bachelor’s degree
About the Company
- Global investment bank