Compliance Surveillance Analyst

BizTek People is hiring an experienced Compliance Surveillance Analyst for a global investment bank in Midtown Manhattan.

This role is focused on employee trading surveillance, personal brokerage account monitoring, insider trading controls, information barriers, and regulatory compliance.

Key Responsibilities:

• Monitor employee brokerage accounts and personal trading activity
  
• Conduct trade surveillance involving employee trading, wall crossings, and firm trading
  
• Monitor watch lists and restricted lists
  
• Review brokerage statements and electronic account data feeds
  
• Support insider trading surveillance and information barrier controls
  
• Analyze trading data for key risk reporting and Internal Audit requests
  
• Assess Public/Private access requirements
  
• Provide compliance policy guidance and support regulatory examinations
  
• Identify, escalate, and report compliance and control issues
  

Required Qualifications:

• 3–5+ years of Compliance Surveillance experience
  
• Experience within a U.S. bank, investment bank, broker-dealer, or financial institution
  
• Hands-on experience with employee trading/personal account dealing surveillance
  
• Knowledge of insider trading regulations, watch/restricted lists, and information wall crossings
  
• Strong analytical, research, and Excel skills
  
• Bachelor’s degree
  

Preferred:

• FINRA licenses
  
• Experience supporting regulatory exams or Internal Audit
  
• Advanced degree
  

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