Trade Surveillance Compliance Manager jobs in United States
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HW3 · 1 day ago

Trade Surveillance Compliance Manager

positionJersey City, NJ
timeFull-time
remoteHybrid
seniorityMid, Senior Level
money$120K/yr - $150K/yr

HW3 is a leading online brokerage and fintech platform, seeking an experienced Compliance Manager – Trade Surveillance to join its Jersey City office. This role is focused on ensuring the firm’s trading activities remain compliant with FINRA and SEC regulations, while overseeing daily trade surveillance and collaborating with various teams to address compliance inquiries.

RecruitingStaffing Agency
Hiring Manager
Aleszandro Almano
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Responsibilities

Oversee and perform daily trade surveillance to identify potential market abuse, manipulation, or insider trading
Review and escalate issues related to trade activity, reporting, and exception management
Collaborate with business and operations teams to resolve compliance questions and address regulatory inquiries
Support ongoing enhancements to surveillance systems, alerts, and processes
Assist with AML/KYC oversight and broader compliance monitoring initiatives
Maintain awareness of regulatory developments affecting broker-dealer activities

Qualification

FINRA Series 7FINRA Series 24Broker-dealer complianceFINRA regulatory frameworkSEC regulatory frameworkAML/KYC regulatory frameworkAnalytical skillsCommunication skillsProblem-solving skillsCollaborative skills

Required

Broker-dealer compliance experience in trade surveillance or supervisory roles
Strong understanding of FINRA, SEC, and AML/KYC regulatory frameworks
Excellent analytical, communication, and problem-solving skills
Ability to work effectively in a collaborative, fast-paced environment

Preferred

Active FINRA Series 7 and Series 24 licenses (preferred) OR must be willing to obtain in 4 months

Benefits

100% employer-paid medical coverage for employees (80% for dependents)
401(k) with 3% company contribution
PTO: 15–22 days (based on level) + NYSE holidays
$300 monthly commuter benefit
Office-based Monday–Thursday; Friday WFH optional

Company

HW3

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Glassdoor3.0
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HW3 is a global recruitment consultancy that offers staffing and recruitment services within regulated industries.
dateFounded in 2011
location
London, England, GBR
people-size51-200 employees
web-link
https://www.hamlynwilliams.com/

Funding

Current Stage
Growth Stage
Total Funding
$7M
Key Investors
Meraki Capital
2024-07-30Series Unknown· $7M

Leadership Team

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Nick Vaughan
Founder & CEO
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Mark DePanfilis
Client Growth Partner
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Company data provided by crunchbase