Michael Page
Compliance Surveillance Analyst
Michael Page, New York, New York, us, 10261
Contract Role located in Midtown New York City.Hybrid work schedule.About Our Client
Our client is a leading financial institution in the Americas, providing a wide range of banking, securities, and investment services. With a strong commitment to innovation and regulatory compliance, they support clients in achieving their financial goals while upholding the highest standards of integrity and performance.
Job Description
Key Responsibilities of the Compliance Surveillance Analyst include:
Monitor employee brokerage accounts and ensure compliance with onboarding, disclosures, and data feed requirements.Conduct trading surveillance for employee and firm activities, analyzing data for reporting and audits.Provide policy guidance to employees and business partners, addressing inquiries promptly.Assess and manage public/private access requirements and maintain information barriers.Support regulatory audits, special projects, and compliance initiatives with minimal supervision.Identify and escalate compliance risks while maintaining accurate and transparent reporting.MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
Requirements for the Compliance Surveillance Analyst include:
3+ years of compliance experience in a U.S. financial institution or broker-dealer.Knowledge of insider trading laws and regulations.Proficiency in Microsoft Office (Excel, Word, PowerPoint).Strong analytical and organizational skills.Ability to manage multiple tasks and prioritize effectively.Good written and verbal communication skills.Ability to work independently with minimal supervision.Strong teamwork and interpersonal skills.
What's on Offer
Our client offers a competitive hourly pay rate plus benefits for the duration of the temporary contract role.
Contact
Luke Tebolt
Quote job ref
JN-112024-6592893
Our client is a leading financial institution in the Americas, providing a wide range of banking, securities, and investment services. With a strong commitment to innovation and regulatory compliance, they support clients in achieving their financial goals while upholding the highest standards of integrity and performance.
Job Description
Key Responsibilities of the Compliance Surveillance Analyst include:
Monitor employee brokerage accounts and ensure compliance with onboarding, disclosures, and data feed requirements.Conduct trading surveillance for employee and firm activities, analyzing data for reporting and audits.Provide policy guidance to employees and business partners, addressing inquiries promptly.Assess and manage public/private access requirements and maintain information barriers.Support regulatory audits, special projects, and compliance initiatives with minimal supervision.Identify and escalate compliance risks while maintaining accurate and transparent reporting.MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.
The Successful Applicant
Requirements for the Compliance Surveillance Analyst include:
3+ years of compliance experience in a U.S. financial institution or broker-dealer.Knowledge of insider trading laws and regulations.Proficiency in Microsoft Office (Excel, Word, PowerPoint).Strong analytical and organizational skills.Ability to manage multiple tasks and prioritize effectively.Good written and verbal communication skills.Ability to work independently with minimal supervision.Strong teamwork and interpersonal skills.
What's on Offer
Our client offers a competitive hourly pay rate plus benefits for the duration of the temporary contract role.
Contact
Luke Tebolt
Quote job ref
JN-112024-6592893