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US Analyst - Surveillance & Monitoring Compliance

United States, NEW YORK 80000.00 USD / Year · Job Posted May 15, 2026
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Job Description

Summary: The position's responsibilities include the following: review and disposition e-communication alerts as well as alerts related to data loss, performing controls related to broker dealer and swap dealer activities, executing special projects for global and local initiatives, documenting, and delivering global policies, procedures, and training. He/she is expected to be able to work in a team environment, whilst simultaneously managing his/her own individual workload.

Job Responsibility

  • Review daily e-communication alerts to ensure compliance with Bank policies and Regulatory Requirements
  • Assist in executing global projects that impact front to bank functions to address compliance with SEC, FINRA, CFTC and NFA regulatory requirements
  • Assist reviewing and dispositioning alerts related to data loss protection
  • Assist in developing training and education to make employees aware of their compliance and regulatory responsibilities
  • Assist the team with any remediation projects in regards to processes or controls, resulted from either regulatory reviews or internal audits

Requirements

  • Recent college graduate
  • Candidate is eligible to work in the US
  • Candidate will not require Visa sponsorship now or in the future (including F1, OPT, CPT, etc.)
  • Knowledge of Microsoft applications
  • Familiarity with finance and banking products
  • Knowledge of International and US AML and OFAC regulations
  • IT Knowledge of Payment systems
  • IT Knowledge of AML tools
  • Bachelor Degree / BSc Degree or equivalent

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