Compliance Associate - Surveillance & Investigations

Public; New York (NY); On-site; USD 95,000 - 115,000; Full time

Job summary

An innovative investing platform is seeking a Compliance Associate to enhance its surveillance and investigations team. This role is pivotal in maintaining compliance integrity by monitoring transactions and identifying potential risks. You'll engage in trade surveillance, assist with regulatory filings, and collaborate across teams using data tools like SQL and Looker. If you have a passion for compliance and data analysis, this opportunity allows you to make a significant impact in a supportive and dynamic environment. Join a forward-thinking company committed to regulatory excellence and teamwork.

Qualifications

• Strong understanding of AML, FINRA, SEC regulations, and SAR filings.
• Experience with trade surveillance and regulatory reporting is essential.

Responsibilities

• Perform trade surveillance and transaction monitoring for suspicious patterns.
• Investigate flagged activities and prepare reports for compliance.

Skills

Trade Surveillance

Regulatory Reporting

Analytical Skills

Problem-Solving

Communication Skills

Data Analysis

Education

FINRA SIE License

Series 7 License

Series 63 License

Series 24 License

Tools

SQL

Looker

Job description

Compliance Associate - Surveillance & Investigations

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About 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.

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 assist with 314(b) information sharing requests, Suspicious Activity Report (SAR) filings, and conducting compliance investigations. Collaboration across teams and utilizing business intelligence tools like Looker will be key. Experience with SQL or a strong willingness to learn will be especially helpful. If you’re passionate about data and compliance, this role offers a significant 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 to review trading activity for suspicious patterns.
• Investigate flagged activities, document findings, and prepare reports for internal and regulatory purposes.
• Identify and escalate potential compliance risks related to market manipulation, insider trading, etc.
• Manage 314(b) requests for information sharing with other financial institutions.
• Assist with SAR filings and AML investigations.
• Monitor TRACE and CAT reporting to ensure compliance with FINRA requirements.
• Identify process improvements in surveillance procedures.
• Utilize data tools like Looker and SQL to support regulatory inquiries and improve data accessibility.

Who you are:

• Necessary: FINRA SIE, Series 7, and 63 licenses; Series 24 licensure preferred or required within 90 days.
• Strong interest in surveillance and investigations with a solid understanding of trade surveillance and regulatory reporting.
• Knowledge of AML, FINRA, SEC regulations, SAR filings, and 314(b) sharing.
• Comfortable working with data; experience with SQL and/or Looker is a plus.
• Excellent analytical and problem-solving skills.
• Strong organizational skills and ability to manage multiple workflows.
• High emotional intelligence, strong communication skills, and cross-functional collaboration abilities.

Public is an equal opportunity employer and prohibits discrimination of any kind. The salary range for this role is $95K - $115K, based on skills and experience.