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Trade Surveillance Specialist

Charlotte, North Carolina

Job Description:

At Bank of America, we are guided by a common purpose to help make financial lives better through the power of every connection. Responsible Growth is how we run our company and how we deliver for our clients, teammates, communities and shareholders every day.

One of the keys to driving Responsible Growth is being a great place to work for our teammates around the world. We’re devoted to being a diverse and inclusive workplace for everyone. We hire individuals with a broad range of backgrounds and experiences and invest heavily in our teammates and their families by offering competitive benefits to support their physical, emotional, and financial well-being.

Bank of America believes both in the importance of working together and offering flexibility to our employees. We use a multi-faceted approach for flexibility, depending on the various roles in our organization.

Working at Bank of America will give you a great career with opportunities to learn, grow and make an impact, along with the power to make a difference. Join us!

Job Description

Daily responsibilities of the Compliance Surveillance Specialist include execution of trade-surveillance alerts, identifying and escalating potential insider trading and trading activity that violates the firm’s information wall policies and providing daily updates to surveillance leads and managers as needed. This role is on the Information Barrier Surveillance within Global Compliance and Operational Risk which falls under Global Risk Management LOB. 
The Compliance Surveillance Specialist has intermediate knowledge of insider-trading and the risk it presents along with the required controls for the firm.  We will also consider candidates who, while lacking in specific surveillance experience, demonstrate strong markets knowledge, intellectual curiosity, and strong analytical skills.  This role will contribute and participate in multiple special projects across the organization.

Key Responsibilities:
• This role is accountable for accurate and timely alert review and/or supports operational and administrative initiative activities related to surveillance, specifically Insider Trading.
• Extensive interaction with internal and external contacts to identify, research, analyze and resolve complex problems
• Daily responsibilities of the Compliance Specialist include execution of Insider Trading alerts, helping to identify potential suspicious activity.

Core Skills:
• Proven Business & Functional Experience
• Knowledge of trading business, markets and products, such as Equities, Commodities, Futures & Options, FX and Fixed Income.
• Ability to handle multiple projects in a dynamic environment
• Excellent interpersonal, written and communication skills
• Intellectually curious with a risk and forward thinking mindset

Required Experience:
• Minimum of 2 + years’ work experience.
• Bachelor’s Degree or equivalent experience.
• Ability to analyze trading activity and market events.
• Intermediate prior exposure to trading and Global Markets.
• Technical skills specifically Microsoft office


1st shift (United States of America)

Hours Per Week: 


Learn more about this role

Full time


Manages People: No

Travel: No

Street Address

Primary Location:
100 N TRYON ST, NC, Charlotte, 28255