At BNY, our culture allows us to run our company better and enables employees’ growth and success. As a leading global financial services company at the heart of the global financial system, we influence nearly 20% of the world’s investible assets. Every day, our teams harness cutting-edge AI and breakthrough technologies to collaborate with clients, driving transformative solutions that redefine industries and uplift communities worldwide.

Recognized as a top destination for innovators, BNY is where bold ideas meet advanced technology and exceptional talent. Together, we power the future of finance – and this is what #LifeAtBNY is all about. Join us and be part of something extraordinary.

Conduct thorough daily analysis of automated surveillance alerts through various trade surveillance systems as applicable.
Under minimal supervision, assists with the monitoring and reporting of established controls and the implementation of new control procedures in response to regulatory changes or compliance issues.
Identifying and escalate any potential concerns or risks relating to - but not limited to - regulatory rules such as MAR, MIFID 2 and firmwide policies
As an experienced team member, suggests changes to improve work processes, counsel’s employees, and business personnel on compliance with policies and guides lower-level peers on procedures and reviews the quality of their work.
With minimal guidance, researches and collects data on compliance and control-related activities.
Compiling data into a useable format for more senior team members and may conduct basic, preliminary analyses of collected data.
Reviewing and verifying that the activities of the assigned areas are aligning with the overall control procedures and compliance strategy.
Writing, disseminate and maintain documented processes for surveillance related tasks.
Maintaining awareness of key EU / FCA / SEC / FINRA regulatory updates and analysing their impact upon market abuse and best execution development particularly around surveillance activities.

Requirements:

To be successful in this role, we’re seeking the following:

BA/BS degree (Finance, Economics, or Business degree preferred)
Minimum of 2 to 4 years surveillance or regulatory experience.
Knowledge of equity and fixed Income cash and derivatives (swaps, CDS, OTC options, treasuries, corporate bonds, agency securities, and financial futures) products.
Good knowledge of market abuse regulations and potential market abuse-related scenarios
Able to demonstrate in-depth trading/product knowledge around trading correlations, use of derivatives and hedging
Knowledge of FINRA, SEC (including security-based swaps), CFTC Dodd Frank, and NFA/CME regulations as well as Treasury Market Best Practices.
Working knowledge of various trade surveillance monitoring systems.
Preferred- Experience with Trading Hub surveillance system or similar trade surveillance platforms.
Strong verbal and written communication skills. Ability to interact with front office and technology personnel.
Strong analytical and project management skills.
Strong Excel and/or data analysis skills
Ability to think creatively to solve problems and anticipate potential questions or issues.
Effective time management and prioritization; strong multi-tasking abilities.
Excellent judgment in handling sensitive and confidential information.

At BNY, our culture speaks for itself, check out the latest BNY news at:

BNY Newsroom

BNY LinkedIn

Here’s a few of our recent awards:

America’s Most Innovative Companies, Fortune, 2025
World’s Most Admired Companies, Fortune 2025
“Most Just Companies”, Just Capital and CNBC, 2025

Our Benefits and Rewards:

BNY offers highly competitive compensation, benefits, and wellbeing programs rooted in a strong culture of excellence and our pay-for-performance philosophy. We provide access to flexible global resources and tools for your life’s journey. Focus on your health, foster your personal resilience, and reach your financial goals as a valued member of our team, along with generous paid leaves, including paid volunteer time, that can support you and your family through moments that matter.

BNY is an Equal Employment Opportunity/Affirmative Action Employer - Underrepresented racial and ethnic groups/Females/Individuals with Disabilities/Protected Veterans.

Surveillance Analyst

Benefits

Job Description