Job Description:
BizTek People is hiring an experienced Compliance Surveillance Analyst for a global investment bank in Midtown Manhattan. Contract: 5 months with possibility of extension
Schedule: Hybrid, 2-3 days onsite
Location:
Midtown NYCThis role is focused on employee trading surveillance, personal brokerage account monitoring, insider trading controls, information barriers, and regulatory compliance.
Key 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
Required Qualifications:- 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
Preferred:- FINRA licenses
- Experience supporting regulatory exams or Internal Audit
- Advanced degree#Compliance
- Surveillance #Trade
- Surveillance #Trading
- Surveillance #Employee
- Trading #Personal
- AccountDealing #Insider
- Trading #Compliance
- Analyst #Investment
- Banking #BrokerDealer #FINRA
