Compliance Surveillance Analyst

BizTek People, Inc. | APA International Placement Consultants • New York, NY

14d • Hybrid

About The Position

BizTek People is hiring an experienced Compliance Surveillance Analyst for a global investment bank in Midtown Manhattan. This role is focused on employee trading surveillance, personal brokerage account monitoring, insider trading controls, information barriers, and regulatory compliance.

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

Nice To Haves

• FINRA licenses
• Experience supporting regulatory exams or Internal Audit
• Advanced degree

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level