Trading Compliance & Market Surveillance Analyst

Atlas Search; Miami (FL); On-site; USD 80,000 - 100,000; Full time

Job summary

A prestigious recruiting firm in Miami is seeking a Compliance Analyst to conduct trading surveillance and ensure adherence to financial regulations. The ideal candidate will have 3-5 years of relevant experience and a Bachelor's degree in Finance or Economics. Strong communication, analytical skills, and proficiency in Excel are essential. This full-time role offers a competitive salary between $80,000.00 and $100,000.00 per year.

Qualifications

• Prior surveillance or related experience at regulatory authority, bank/broker or buy-side firm is ideal.
• Specific experience in equity or futures market is preferred.
• Series 7 or 3 is a plus.

Responsibilities

• General trading surveillance reviews focusing on market manipulation and insider trading.
• Monitoring daily surveillance reports using exception reports and other tools.
• Reviewing trade alerts and escalating findings as needed.

Skills

3-5 years of experience

Strong communication and analytical skills

Creative problem-solving abilities

Advanced proficiency in Excel

Team player with enthusiasm for trading markets

Education

Bachelor’s degree in Finance, Economics or similar

Tools

Nasdaq Trade Surveillance System (NTS)

Actimize

Tableau

Job description

A prestigious recruiting firm in Miami is seeking a Compliance Analyst to conduct trading surveillance and ensure adherence to financial regulations. The ideal candidate will have 3-5 years of relevant experience and a Bachelor's degree in Finance or Economics. Strong communication, analytical skills, and proficiency in Excel are essential. This full-time role offers a competitive salary between $80,000.00 and $100,000.00 per year.