AVP, Equities Surveillance

Full Time

Investment Banking Client

Office Status: Hybrid

Primary Responsibilities:

This position is in the Markets Compliance Group and will be responsible for conducting surveillance of Equities activity:

  • Review for suspicious activity and potential violations
  • Ensure surveillance issues are identified, fully investigated and promptly escalated in a timely manner
  • Participate in and contribute to ongoing projects to develop and enhance the current suite of surveillance models, reports and tools
  • Take the lead with project work which may include implementing new systems and assisting with system testingAd hoc projects


Seeking a highly-motivated individual who is willing to actively participate as part of the Compliance team. The candidate must:

  • Think analytically and use sound judgment
  • Work effectively in a team environment and foster effective relationships
  • Willing to be flexible to assume different responsibilities as neededBe able to react in a fast-paced trading floor environment, managing a wide variety of requests

Required Background/ Desired Experience & Skills:

  • Knowledge of the Equities markets
  • Bachelor’s degree
  • 3-5 years of trade surveillance experience
  • Working knowledge of various FactSet/Bloomberg functions a plus.
  • Knowledge of FINRA & SEC rules
  • Fluent in Excel.
  • Must know how to utilize VLOOKUP and Pivot Table functionalities.
Upload your CV/resume or any other relevant file. Max. file size: 2 GB.

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