Compliance Associate - Surveillance & Investigations

Public; Jersey City (NJ); On-site; USD 85,000 - 115,000; Full time

Job summary

A leading firm in the investment sector is seeking a Compliance Associate to enhance their compliance program. The role involves monitoring trades, conducting investigations, and ensuring adherence to regulatory frameworks, using tools like SQL and Looker. Applicants should hold necessary FINRA licenses and possess strong analytical skills.

Qualifications

• Passionate compliance professional with strong interest in surveillance.
• Knowledge of AML, FINRA, and SEC regulations.
• Comfortable working with data; experience with SQL and/or Looker is a plus.

Responsibilities

• Perform trade surveillance and transaction monitoring to ensure compliance.
• Conduct case investigations and report findings to stakeholders.
• Analyze potential compliance risks and escalate concerns.

Skills

Analytical skills

Problem-solving abilities

Data handling

Education

FINRA SIE, Series 7 and 63 licenses

FINRA Series 24 licensure

Tools

SQL

Looker

Job description

Compliance Associate - Surveillance & InvestigationsAbout us : Public is an investing platform that makes building a multi-asset portfolio fast, frictionless, and secure. Members can trade stocks, options, bonds, crypto, and ETFs -all in one place. Alongside its robust suite of investing tools, Public offers Alpha, a layer of artificial intelligence that provides fundamental data and custom analysis to support informed investment decisions.Since 2019, Public has raised over $500 million. Investors include Accel, Tiger Global, Will Smith's Dreamers VC, The Chainsmokers' Mantis VC, and Shari Redstone's Advancit Capital, as well as renowned figures in business and culture, like Maria Sharapova, Tony Hawk, and NYU Stern professor Scott Galloway.About the role : As a Compliance Associate focusing on Surveillance & Investigations, you'll play a critical role in maintaining the integrity of our compliance program. You'll be responsible for using data to monitor transactions, identify potential compliance risks, and ensure adherence to regulatory requirements, including FINRA, SEC, and AML guidelines. Your work will help safeguard the firm's operations and uphold our commitment to regulatory compliance.Beyond day-to-day monitoring, you'll also assist with 314(b) information sharing requests, Suspicious Activity Report (SAR) filings, and conducting compliance investigations. You'll collaborate with teams across the firm, ensuring proactive risk mitigation and process improvement. You'll also play a key role in surfacing data for regulatory and internal requests using business intelligence and database management tools like Looker. Experience with SQL or a strong willingness to learn will be especially helpful in navigating large datasets and supporting more efficient compliance operations. If you're passionate about data and compliance, this role is an exciting opportunity to make a real impact.This role is based in our NYC office and is onsite Monday through Thursday.What you'll do : Perform trade surveillance and transaction monitoring : Review trading activity for suspicious patterns, ensuring compliance with internal policies and regulatory requirements.Conduct case investigations and reporting : Investigate flagged activities from surveillance reviews, document findings, and prepare detailed reports for internal stakeholders and regulators as needed.Analyze and escalate potential compliance risks : Identify red flags related to market manipulation, insider trading, and other misconduct, escalating concerns

314(b) requests : Handle information-sharing requests with other financial institutions under the USA PATRIOT Act, facilitating efficient communication and

with SAR filings : Support the AML team in investigating suspicious activities and preparing SAR reports as required.Monitor TRACE and CAT reporting : ensure reporting accuracy and compliance with FINRA's Trade Reporting and Compliance Engine (TRACE) and Consolidated Audit Trail (CAT) requirements.Enhance surveillance processes : Identify areas for improvement in surveillance procedures and help implement new technologies or methodologies.Use data tools like Looker and SQL to support regulatory inquiries and enhance the quality and accessibility of compliance-related dataWho you are : Necessary : FINRA SIE, Series 7 and 63 licenses; FINRA Series 24 licensure strongly preferred or required within 90 days of hireA passionate compliance professional with a strong interest in surveillance and

understanding of trade surveillance and regulatory reporting.Knowledge of AML, FINRA, and SEC regulations, including SAR filings and 314(b) information sharing.Comfortable working with data; experience with SQL and / or Looker is a plusStrong analytical skills with a keen eye for identifying trends and anomalies in trading and communication

problem-solving abilities and the confidence to escalate issues when necessary.Strong organizational skills and ability to manage multiple workflows efficiently.High EQ, strong communication skills, and the ability to work cross-functionally with stakeholders across the firm.Public is an equal employment opportunity employer to all employees and applicants for employment and prohibits discrimination and harassment of any type. We celebrate people of all race, color, religion, age, sex, national origin, disability status, genetics, veteran status, sexual orientation, gender identity, or expression. The compensation range for this role is $85K - $115K based on skills and experience.

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Compliance Associate • Jersey City, NJ, United States