• Compliance, Market Surveillance Group, Analyst/Associate

    Location(s) US-UT-Salt Lake City
    Job ID
    Schedule Type
    Full Time
    Business Unit
    Market Surveillance Group
    Employment Type


    Our division prevents, detects and mitigates compliance, regulatory and reputational risk across the firm and helps to strengthen the firm’s culture of compliance. Compliance accomplishes these through the firm’s enterprise-wide compliance risk management program. As an independent control function and part of the firm’s second line of defense, Compliance assesses the firm’s compliance, regulatory and reputational risk; monitors for compliance with new or amended laws, rules and regulations; designs and implements controls, policies, procedures and training; conducts independent testing; investigates, surveils and monitors for compliance risks and breaches; and leads the firm’s responses to regulatory examinations, audits and inquiries. You'll be part of a team with members from a wide range of academic and professional backgrounds, such as law, accounting, sales, and trading. We look for those who possess sound judgment, curiosity, and are able to adapt to a changing regulatory landscape. 


    The Market Surveillance Group sits within the Financial Crime Compliance Group, a centralized surveillance function within the Global Compliance Department Market Surveillance focuses on firmwide information barrier surveillances and enforcement of firmwide trading policies. The group strives to establish advanced technology-based trading surveillances to detect potential insider trading, market abuse, and/or violations of firmwide trading policies. Market Surveillance focuses on establishing surveillance to cover all business units and employees worldwide. The opportunity within Market Surveillance exists in the New York office and will focus on information barrier surveillances, ad-hoc investigations arising from internal escalations and regulatory inquiries, as well as project-based work o! n building out trade-surveillance parameters underpinning new surveilance technologies.


    Key Responsibilities

    • Review and analyze trading alerts generated from automated information barrier surveillances, focusing on potential insider trading and market manipulation scenarios
    • Research market-moving events and create market color, conduct an analysis of the trading in the context of this market color, develop and support a recommendation
    • Investigate potential trading issues flagged by the business units, such as the Securities Division and Investment Banking
    • Liaise with the Compliance Surveillance Analytics Group and Compliance Information Technology in the development, review, and testing of new automated surveillance models and output
    • Coordinate with the Anti-Money Laundering Group globally on trading-related investigations and potential escalations
    • Pursue ad-hoc projects r! elated to trading around market-moving news events such as merger & acquisition announcements, offerings, corporate accounting scandals, etc
    • Participate and potentially lead working groups that focus on enhancing controls/quality of the trade surveillance program​



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