Compliance Surveillance Analyst

Phyton Talent Advisors; New York (NY); On-site; USD 110,000 - 150,000; Full time

Job summary

Phyton Talent Advisors in New York seeks a Compliance & Surveillance professional to monitor employee brokerage activity, manage data feeds, and conduct surveillance related to trading. You will coordinate disclosures, watchlists, and information barriers while supporting audits and regulatory exams.

The role requires strong analytical skills, familiarity with insider trading laws, and the ability to work independently in a fast-paced environment. FINRA licenses are preferred but not required.

Qualifications

• General knowledge of insider trading laws, regulations, and associated compliance risks.
• Experience handling compliance matters within a U.S. financial institution.
• Experience with trading surveillance, insider trading monitoring, employee personal trading, watch/restricted lists, information barriers, and wall crossings.
• Knowledge of compliance policies, procedures, and controls.
• Strong research and analytical skills with the ability to analyze trading data and identify potential issues.
• Strong organizational and project management skills with the ability to manage multiple priorities.
• Excellent written and verbal communication skills.
• Ability to work independently as well as collaboratively across different levels of an organization.
• Self-starter who is flexible, adaptable, and comfortable working in a fast-paced environment.
• Proficiency with Microsoft Office, including Excel, Word, and PowerPoint.
• Strong ability to leverage technology within a compliance and surveillance environment.

Responsibilities

• Maintain and monitor employee brokerage accounts, including onboarding, account disclosures, and coordination with brokerage firms.
• Establish and remove brokerage accounts from electronic data feeds and ensure the continual receipt of brokerage data.
• Track and review statements for non-feeding accounts and accounts in transition.
• Conduct trading surveillance related to employee personal trading and firm trading activity.
• Monitor activity against watch lists and restricted lists and identify potential compliance concerns.
• Analyze trading data and perform and develop surveillance reviews.
• Prepare trading data and analysis for Key Risk reporting and respond to Internal Audit requests.
• Assess Public/Private access requirements and support information barrier controls.
• Provide policy guidance and respond to inquiries from employees, vendors, and business partners.
• Participate in regulatory exams, ad-hoc requests, and special projects across Compliance and Legal.
• Identify, escalation, manage, and report compliance and control issues appropriately.
• Operate independently with limited supervision and exercise sound judgment when assessing risk.
• Serve as a subject matter expert to senior stakeholders and other team members.

Skills

Insider trading laws

US financial institution experience

Trading surveillance

Watch/restricted lists

Policies & controls

Analytical skills

Project management

Written & verbal communication

Independent work

MS Office (Excel/Word/PowerPoint)

Tech in compliance environment

Education

Bachelor's degree in Finance/Accounting/Law

FINRA licenses (preferred)

Job description

• Maintain and monitor employee brokerage accounts, including onboarding, account disclosures, and coordination with brokerage firms.
• Establish and remove brokerage accounts from electronic data feeds and ensure the continual receipt of brokerage data.
• Track and review statements for non-feeding accounts and accounts in transition.
• Conduct trading surveillance related to employee personal trading, employees brought over the wall, and firm trading activity.
• Monitor activity against watch lists and restricted lists and identify potential compliance concerns.
• Analyze trading data and perform and develop surveillance reviews.
• Prepare trading data and analysis for Key Risk reporting and respond to Internal Audit requests.
• Assess Public/Private access requirements and support information barrier controls.
• Provide policy guidance and respond to inquiries from employees, vendors, and business partners.
• Participate in regulatory exams, ad-hoc requests, and special projects across Compliance and Legal.
• Identify, escalation, manage, and report compliance and control issues appropriately.
• Operate independently with limited supervision and exercise sound judgment when assessing risk.
• Serve as a subject matter expert to senior stakeholders and other team members.

Qualifications

• General knowledge of insider trading laws, regulations, and associated compliance risks.
• Experience handling compliance matters within a U.S. financial institution.
• Experience with trading surveillance, insider trading monitoring, employee personal trading, watch/restricted lists, information barriers, and wall crossings.
• Knowledge of compliance policies, procedures, and controls.
• Strong research and analytical skills with the ability to analyze trading data and identify potential issues.
• Strong organizational and project management skills with the ability to manage multiple priorities.
• Excellent written and verbal communication skills.
• Ability to work independently as well as collaboratively across different levels of an organization.
• Self-starter who is flexible, adaptable, and comfortable working in a fast-paced environment.
• Proficiency with Microsoft Office, including Excel, Word, and PowerPoint.
• Strong ability to leverage technology within a compliance and surveillance environment.

Education & Preferred Background

• Experience within a financial services firm, regulatory organization, or legal/consulting firm.
• Advanced degree and/or FINRA licenses preferred.