Trade Surveillance Lead: Broker-Dealer & Swap Dealer
Job in
New York, New York County, New York, 10261, USA
Listed on 2026-02-06
Listing for:
Capital One
Full Time
position Listed on 2026-02-06
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Banking & Finance
Job Description & How to Apply Below
A financial services company is seeking a highly skilled Trade Surveillance Manager to enhance its surveillance program across Broker-Dealer and Swap Dealer activities. This role involves leading daily operations and ensuring compliance with regulatory requirements, while also managing and developing a team of analysts. Candidates should have expertise in trade surveillance, market regulation, and the ability to communicate effectively. The position is based in New York, NY and offers a competitive salary range of $159,400 - $181,900.
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