Compliance Associate - Surveillance

JCW Group; New York (NY); Hybrid; USD 70,000 - 110,000; Full time

Job summary

JCW Group is seeking a Compliance Associate focused on Trade Surveillance for our New York City office, with hybrid presence (3 days on site). The role reports to the Head of Compliance and offers exposure to senior leadership.

The ideal candidate has real-time surveillance experience at a regulated firm and is familiar with OTC derivative products such as broker-dealer and swap dealer activities. You will support regulatory inquiries and policy updates.

Qualifications

• Experience in a real-time surveillance role at a regulated firm (broker-dealer, swap dealer, hedge fund, etc).
• Familiar with OTC derivative products.
• Ability to respond to regulatory inquiries from NFA/CFTC and SEC.
• Able to enforce and update compliance policies and procedures.
• Experience with regulatory reporting is a plus.

Responsibilities

• Conduct real time surveillance of firm trading activity.
• Respond to regulatory inquiries from the NFA/CFTC and SEC.
• Enforce and update compliance policies and procedures
• Assist with regulatory reporting

Skills

Surveillance experience

OTC derivatives knowledge

Regulatory inquiries handling

Job description

A leading broker-dealer/swap dealer firm is looking to hire a Compliance Associate focused on Trade Surveillance. This role reports directly to the firm's Head of Compliance and will get great exposure to other senior leadership in the firm. An ideal candidate will have prior surveillance experience at a similarly regulated firm and familiar with OTC derivative products (broker-dealer, swap dealer, hedge fund, etc.)

Day to day you will:

• Conduct real time surveillance of firm trading activity.
• Respond to regulatory inquiries from the NFA/CFTC and SEC.
• Enforce and update compliance policies and procedures
• Assist with regulatory reporting

You should apply if you:

• Have experience in a surveillance role at a similarly regualted firm.
• Are familiar with OTC derivatives.

This role is in the firm's NYC office 3 days per week.