Trade Surveillance Compliance Manager

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