Regulatory Control Room Analyst

BBVA SECURITIES NEW YORK; New York (NY); On-site; USD 120,000 - 130,000; Full time

Benefits offered by this job

Discretionary bonus

Disability access accommodations

Job summary

BBVA Securities Inc. in New York seeks a Compliance professional to manage the day-to-day Control Room and Registration programs. You will identify and mitigate insider trading risks, maintain information barriers, and monitor employee trading with various tools.

The role partners with Compliance, Legal, and Operations to ensure SEC, FINRA, and CFTC compliance, while supporting regulatory exams and audits. A 4-year compliance background and licenses preferred.

Qualifications

• Bachelor’s degree in Business, Finance, Economics, Law, or related field.
• Minimum of 4 years of Compliance experience in US-regulated financial institutions.
• Experience with CR, Information Barriers, Employee Personal Trading, and Registration.

Responsibilities

• Manage and execute the Firm’s Control Room program, mitigating insider trading risks.
• Maintain Information Barriers and manage watch/restricted lists and wall-crossings.
• Monitor employee trading, review alerts, and escalate issues with guidance.
• Support regulatory examinations, internal audits, and governance documentation.

Skills

US securities regulations knowledge

Analytical & investigative skills

Project management

Communication skills

Bilingual English/Spanish

Education

Bachelor’s degree in Business/Finance/Law or related field

Tools

MCO surveillance platform

Microsoft Excel

Google Workspace

Job description

BBVA Securities Inc. in New York seeks a Compliance professional to manage the day-to-day Control Room and Registration programs. You will identify and mitigate insider trading risks, maintain information barriers, and monitor employee trading with various tools.

The role partners with Compliance, Legal, and Operations to ensure SEC, FINRA, and CFTC compliance, while supporting regulatory exams and audits. A 4-year compliance background and licenses preferred.