Madison-Davis, LLC
Compliance Surveillance Analyst
Madison-Davis, LLC - Austin, Texas, us, 78716
Work at Madison-Davis, LLC
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Overview
This range is provided by Madison-Davis, LLC. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
For a complete understanding of this opportunity, and what will be required to be a successful applicant, read on. 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 levelAssociate Employment type
Employment typeFull-time Job function
Job functionAnalyst, Finance, and Other IndustriesFinancial 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 & ComplianceNERC Compliance Analyst (Business Analyst)Business Analyst, Logistics Claims Management and OperationsBusiness 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 levelBusiness Analyst, Strategic Account ServicesBusiness Analyst, Software ImplementationsBusiness Analyst Consultant for Texas Education Agency, Austin, TxBusiness Analyst Consultant for Texas Education Agency, Austin, TxBusiness 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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For a complete understanding of this opportunity, and what will be required to be a successful applicant, read on. 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 levelAssociate Employment type
Employment typeFull-time Job function
Job functionAnalyst, Finance, and Other IndustriesFinancial 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 & ComplianceNERC Compliance Analyst (Business Analyst)Business Analyst, Logistics Claims Management and OperationsBusiness 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 levelBusiness Analyst, Strategic Account ServicesBusiness Analyst, Software ImplementationsBusiness Analyst Consultant for Texas Education Agency, Austin, TxBusiness Analyst Consultant for Texas Education Agency, Austin, TxBusiness 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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