Madison-Davis, LLC
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Base pay range
$125,000.00/yr - $175,000.00/yr Direct message the job poster from Madison-Davis, LLC VP-Head of Legal & Compliance Research @ Madison-Davis, LLC | AML, KYC, BSA
Prominent financial services firm and registered broker-dealer with offices in Maplewood, NJ, and Midtown Manhattan, is currently seeking to hire two Compliance Surveillance Analysts to join their growing team. These are junior to mid-level roles, offering a competitive base salary along with a discretionary bonus. The position will follow a hybrid schedule, requiring three days per week onsite. Key Responsibilities: Design and conduct surveillance and supervisory reviews across various focus areas Collaborate with the inquiry team on related investigations and follow-ups Lead compliance innovation projects focused on automation, increased efficiency, and trend analysis Maintain a strong understanding of broker-dealer regulations, including securities and commodities laws, as well as SEC, CFTC, and SRO rules Collaborate with trading teams, technology, and other key stakeholders across the organization to escalate and resolve issues identified during surveillance reviews Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Analyst, Finance, and Other Industries Financial Services, Banking, and Investment Banking Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Sign in to set job alerts for “Surveillance Analyst” roles.
Austin, Texas Metropolitan Area $35.00-$37.00 4 days ago Associate General Counsel, Sanctions Compliance
Austin, TX $198,000.00-$266,000.00 2 weeks ago Associate General Counsel, Investigations & Compliance
NERC Compliance Analyst (Business Analyst)
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Austin, TX $50,200.00-$107,400.00 4 days ago US Immigration Business Analyst - Associate
Austin, TX $72,000.00-$115,000.00 4 days ago US Immigration Business Analyst - Associate Level
Austin, TX $54,000.00-$81,700.00 4 days ago US Business Immigration Analyst - Associate level
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Business Analyst Consultant for Texas Education Agency, Austin, Tx
Business Analyst Consultant for Texas Education Agency, Austin, Tx
Business Analyst Consultant for Texas Education Agency, Austin, Tx
Austin, Texas Metropolitan Area 6 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
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$125,000.00/yr - $175,000.00/yr Direct message the job poster from Madison-Davis, LLC VP-Head of Legal & Compliance Research @ Madison-Davis, LLC | AML, KYC, BSA
Prominent financial services firm and registered broker-dealer with offices in Maplewood, NJ, and Midtown Manhattan, is currently seeking to hire two Compliance Surveillance Analysts to join their growing team. These are junior to mid-level roles, offering a competitive base salary along with a discretionary bonus. The position will follow a hybrid schedule, requiring three days per week onsite. Key Responsibilities: Design and conduct surveillance and supervisory reviews across various focus areas Collaborate with the inquiry team on related investigations and follow-ups Lead compliance innovation projects focused on automation, increased efficiency, and trend analysis Maintain a strong understanding of broker-dealer regulations, including securities and commodities laws, as well as SEC, CFTC, and SRO rules Collaborate with trading teams, technology, and other key stakeholders across the organization to escalate and resolve issues identified during surveillance reviews Seniority level
Seniority level Associate Employment type
Employment type Full-time Job function
Job function Analyst, Finance, and Other Industries Financial Services, Banking, and Investment Banking Referrals increase your chances of interviewing at Madison-Davis, LLC by 2x Sign in to set job alerts for “Surveillance Analyst” roles.
Austin, Texas Metropolitan Area $35.00-$37.00 4 days ago Associate General Counsel, Sanctions Compliance
Austin, TX $198,000.00-$266,000.00 2 weeks ago Associate General Counsel, Investigations & Compliance
NERC Compliance Analyst (Business Analyst)
Business Analyst, Logistics Claims Management and Operations
Business Analyst I, OpsTech Central Services
Austin, TX $50,200.00-$107,400.00 4 days ago US Immigration Business Analyst - Associate
Austin, TX $72,000.00-$115,000.00 4 days ago US Immigration Business Analyst - Associate Level
Austin, TX $54,000.00-$81,700.00 4 days ago US Business Immigration Analyst - Associate level
Business Analyst, Strategic Account Services
Business Analyst, Software Implementations
Business Analyst Consultant for Texas Education Agency, Austin, Tx
Business Analyst Consultant for Texas Education Agency, Austin, Tx
Business Analyst Consultant for Texas Education Agency, Austin, Tx
Austin, Texas Metropolitan Area 6 days ago We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr