Compliance Monitoring Surveillance Alerts (Cash Equities)

Company: Square One Resources
Location: New York
Posted on: May 20, 2025

Job Description:

Job Title: Compliance Monitoring Surveillance Alerts Specialist (Cash Equities)
Location: New York (Hybrid)
Salary/Rate: $500-700 per day DOE
Start Date: 26/05/25
Job Type: Initial freelance consultant contract (B2B)

Company Introduction:
We have an exciting opportunity now available with one of our sector-leading financial services clients! They are currently looking for a skilled Compliance Monitoring trade surveillance specialist with alert reviews experience in Cash Equities to join their team in New York.

Job Responsibilities/Requirements:
You will be focused on reviewing alerts related to Cash Equities trading activity, with a strong possibility to convert to a permanent role depending on performance and business needs.

• Alert Review in Cash Equities: Monitoring trade surveillance alerts specifically in the Cash Equities space to identify potential breaches of regulations (e.g., market abuse, insider trading, front-running).
• Compliance Monitoring: Ensuring adherence to financial regulations and internal policies by analysing flagged activities and escalating suspicious or non-compliant behaviour.
• Using Surveillance Systems: Likely working with tools like NICE Actimize, SMARTS, or similar platforms used by Tier 1 banks to conduct trade surveillance.
• Reporting & Documentation: Preparing reports of findings and ensuring accurate documentation of investigations for audit and regulatory review.
  Other Notes:
  • Location: Based in New York City - so understanding of U.S. regulations (e.g., SEC, FINRA) will be necessary.
  • Profile Preference: Candidates with experience in Tier 1 banks in similar roles are preferred. This implies a high-pressure, high-standard environment, and familiarity with institutional trading operations.
  • Urgent Hiring: Urgent start dates suggest this is a priority role, likely to cover a workload spike or a team gap.
  • Contract-to-Perm Possibility: There is interest in longer-term fit beyond the initial 5 months, so performance could lead to a permanent offer.
    If you are interested in this opportunity, please apply now with your updated CV in Microsoft Word/PDF format.
    
    Disclaimer:
    Notwithstanding any guidelines given to level of experience sought, we will consider candidates from outside this range if they can demonstrate the necessary competencies.
    
    Square One is acting as both an employment agency and an employment business, and is an equal opportunities recruitment business. Square One embraces diversity and will treat everyone equally. Please see our website for our full diversity statement.
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Keywords: Square One Resources, Hamden , Compliance Monitoring Surveillance Alerts (Cash Equities), Accounting, Auditing , New York, Connecticut