Market Surveillance Compliance Analyst - Santa Barbara California

Company: VirtualVocations
Location: Santa Barbara, California
Posted On: 11/09/2024

A company is looking for a Compliance Analyst, Market Surveillance.



Key Responsibilities

Monitor market surveillance activity using industry-leading tools and platforms
Conduct market surveillance to identify and report attempts of insider dealing or market manipulation
Collaborate with various teams to enhance data and reporting processes


Required Qualifications

BA/BS in a related technical field or equivalent practical experience
2-3 years of experience in market surveillance, trade surveillance, or a closely related field
Strong regulatory knowledge of US AML requirements for financial institutions
Familiarity with commonly used trade surveillance and reporting tools is a plus
Professional AML/ATF compliance training or accreditation is a nice to have More...

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