Compliance Surveillance Analyst

Biz. Tek People is hiring an experienced Compliance Surveillance Analyst for a global investment bank in Midtown Manhattan. Contract: 5 months with possibility of extension Schedule: Hybrid, 2–3 days onsite Location: Midtown NYC 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 #Compliance.

Surveillance #Trade. Surveillance #Trading. Surveillance #Employee. Trading #Personal. Account. Dealing #Insider. Trading #Compliance. Analyst #Investment. Banking #Broker. Dealer #FINRA