Market Surveillance & Compliance Analytics Analyst

Northbound Executive Search; New York (NY); On-site; USD 85,000 - 105,000; Full time

Job summary

Northbound Executive Search is seeking a Trade Surveillance Analyst in New York to monitor regulatory trends and design surveillance patterns ensuring comprehensive coverage. You will collaborate with Compliance and Front Office to develop multi-data alerts and risk metrics, handle KYC/AML concerns, and respond to regulatory reporting.

Candidates should hold a bachelor’s or higher in economics/CS/finance and have 2–3 years in financial services, with strong analytical and written communication

Qualifications

• Bachelor’s Degree or advanced degree in Economics, Computer Science, or finance.
• Strong interpersonal and written ability.
• Demonstrated high level of initiative, analytical skills, and impeccable integrity.
• Ability to multi-task multiple projects within specified time restraints
• At least 2-3 years of professional experience in the Financial Services industry.

Responsibilities

• Responsible for the timely analysis of alerts leading to the detection and prevention of market or firm misconduct.
• Effectively review and analyze complex situations, identify high risk attributes and apply judgement to resolve issues in an efficient manner with minimal supervision.
• Compile analysis into meaningful summaries and make findings available to relevant stakeholders.
• Case Management Facility: Participate in establishing a facility for case management, data reporting and a holistic approach to risk mitigation.
• Develop a systematic program for the case management reviews, workflow, and reporting.
• Critical knowledge on handling KYC, AML, Compliance conflicts
• Market manipulation schemes, such as: collusion, front-running, pre-arranged trading, layering, spoofing, ramping, etc.

Skills

Analytical skills

Regulatory awareness

Interpersonal skills

Written communication

Initiative

Education

Bachelor's or advanced degree in Economics/CS/Finance

Job description

Northbound Executive Search is seeking a Trade Surveillance Analyst in New York to monitor regulatory trends and design surveillance patterns ensuring comprehensive coverage. You will collaborate with Compliance and Front Office to develop multi-data alerts and risk metrics, handle KYC/AML concerns, and respond to regulatory reporting.

Candidates should hold a bachelor’s or higher in economics/CS/finance and have 2–3 years in financial services, with strong analytical and written communication