Trade Surveillance Compliance Manager
Job in
Jersey City, Hudson County, New Jersey, 07390, USA
Listed on 2026-02-06
Listing for:
HW3
Full Time
position Listed on 2026-02-06
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Job Description & How to Apply Below
Key Responsibilities
- Oversee and perform daily trade surveillance to identify potential market abuse, manipulation, or insider trading.
- Review and escalate issues related to trade activity, reporting, and exception management.
- Collaborate with business and operations teams to resolve compliance questions and address regulatory inquiries.
- Support ongoing enhancements to surveillance systems, alerts, and processes.
- Assist with AML/KYC oversight and broader compliance monitoring initiatives.
- Maintain awareness of regulatory developments affecting broker-dealer activities.
- Active FINRA Series 7 and Series 24 licenses (preferred) OR must be willing to obtain in 4 months
- Broker-dealer compliance experience in trade surveillance or supervisory roles.
- Strong understanding of FINRA, SEC, and AML/KYC regulatory frameworks.
- Excellent analytical, communication, and problem-solving skills.
- Ability to work effectively in a collaborative, fast-paced environment.
- Base salary: $120,000–$150,000 (commensurate with experience)
- Annual cash bonus: ~20% target (performance-based)
- 401(k) with 3% company contribution
- PTO: 15–22 days (based on level) + NYSE holidays
- $300 monthly commuter benefit
- Office-based Monday–Thursday;
Friday WFH optional
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