Compliance Officer

High frequency trading firm is seeking a Compliance Surveillance Analyst to join their Compliance team. This role is instrumental in conducting trading and communication surveillance, investigating potential compliance issues, and working with business and technology partners to drive enhancements in surveillance processes. The ideal candidate is analytical, self-driven, and eager to contribute to a fast-paced, collaborative environment.



Responsibilities

• Design and execute surveillance and supervisory reviews across a wide range of business activities and asset classes.


• Partner with the Compliance Inquiry team to investigate findings and coordinate follow-ups on potential regulatory or internal policy breaches.


• Collaborate with business, legal, and technology teams to escalate and remediate issues uncovered through surveillance.


• Lead and support initiatives ...