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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 policies related to GWIM, Title VII of Dodd Frank (i.e. Swap Dealer policies), the Volcker Rule, and Reg W, and providing daily updates to surveillance leads and managers as needed. This role works closely with Risk, LOB Compliance, and SMEs to conduct surveillance.  The role will be aligned almost exclusively to GWIM insider-trading surveillance in the short term, but there will be opportunities for cross-training in other coverage areas in the medium and long term. 
The Compliance Surveillance Specialist has intermediate knowledge of insider-trading surveillances, and translates business strategy into work programs and processes. We will also consider candidates who, while lacking in specific surveillance experience, demonstrate strong markets knowledge, intellectual curiosity, and strong analytical skills. This role may contribute and/or participate in multiple special projects. 
Key Responsibilities: 
• Efficient and accurate execution of daily GWIM insider-trading alerts. 
• Extensive interaction with internal or external contacts to identify, research, analyze and resolve complex problems. 
• Working closely with Risk, Compliance, and SMEs to conduct surveillances. 
• Intermediate knowledge of insider trading surveillance; This role may contribute and/or participate in multiple special projects. 
• Daily interaction with senior Compliance members. 

Required Experience: 
• Minimum of 2 + years’ work experience. 
• Bachelor’s Degree or equivalent experience. 
• Ability to analyze trading activity and market events. 
• Include systems knowledge, certifications, etc. 
• Ability to execute surveillances across multiple lines of business. 
• Extensive functional or professional knowledge. 
• Microsoft Suite of products. 
Skills and competencies: 
• Proven markets knowledge and experience. 
• Bachelor’s Degree or equivalent 
• Knowledge of trading business, markets, and products, such as equities, options, swaps, and other OTC financial derivatives. 
• Ability to handle multiple projects in a dynamic environment. 
• Experience in using surveillance tools, such as Actimize. 
• Excellent interpersonal, written and communication skills. 
• Intellectual curiosity and ability to anticipate risk. 
• Detail-oriented. 
• Strong time-management skills. 
• Ability to meet deadlines. 


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