Compliance Associate - Surveillance

A leading broker-dealer/swap dealer firm is looking to hire a Compliance Associate focused on Trade Surveillance. This role reports directly to the firm's Head of Compliance and will get great exposure to other senior leadership in the firm. An ideal candidate will have prior surveillance experience at a similarly regulated firm and familiar with OTC derivative products (broker-dealer, swap dealer, hedge fund, etc.)

Day to day you will:

• Conduct real time surveillance of firm trading activity.
• Respond to regulatory inquiries from the NFA/CFTC and SEC.
• Enforce and update compliance policies and procedures
• Assist with regulatory reporting

You should apply if you:

• Have experience in a surveillance role at a similarly regualted firm.
• Are familiar with OTC derivatives.

This role is in the firm's NYC office 3 days per week.