# Senior Surveillance Specialist

**Company:** [tastytrade](https://hotfix.jobs/companies/tastytrade)
**Location:** Chicago, IL
**Role:** Other
**Salary:** $101k – $120k/yr
**Experience:** 2+ years
**Skills:** trade surveillance, aml transaction monitoring, SQL, blockchain analysis, kyt, sar filing, finra rules, nfa compliance rules, cftc regulations, nice actimize, nasdaq smarts, aws s3
**Posted:** 2026-07-29

> Senior Surveillance Specialist responsible for designing, building, tuning, and operating cross-asset trade surveillance and AML monitoring systems at a FINRA-regulated broker-dealer. Involves alert investigation, SAR filing, blockchain monitoring, regulatory reporting, and program enhancement across equities, futures, crypto, and prediction markets. Requires 2-5+ years experience, specific FINRA/NFA licenses, regulatory knowledge, SQL, and investigative skills.

## Job Description

## What You'll Do

- Design, build, and test surveillance scenarios/alerts across equities, options, futures, crypto, and prediction markets, covering manipulative and abusive trading patterns (e.g., spoofing, layering, wash trading, front-running, marking the close, insider trading, cross-product/cross-market manipulation, uneconomical trading).
- Tune and validate surveillance thresholds and models; document methodology, coverage, and testing/back-testing results to demonstrate reasonable design under FINRA Rule 3110 and NFA Compliance Rule 2-9.
- Conduct first- and second-level review of surveillance alerts and customer escalations; investigate potential violations of FINRA, SEC, NFA Compliance Rule 2-4 (Just and Equitable Principles of Trade), CFTC Rules 180.1/180.2, CEA Section 4c(a), and internal policies.
- Conduct thorough investigations into suspicious transactions or activities, collaborating with Compliance, Legal, and Operations to gather necessary information and evidence.
- Monitor cryptocurrency transactions and blockchain activity for signs of suspicious or illicit behavior, using blockchain analytical software to satisfy the firm's Know Your Transaction (KYT) requirements and identify potential risks.
- Draft, review, and file Suspicious Activity Reports (SARs) arising from trade surveillance in accordance with BSA/AML requirements; maintain SAR documentation and related recordkeeping.
- Report and escalate suspicious activities to appropriate regulatory or law enforcement agencies as required; prepare regulatory reporting and respond to inquiries, exams, and requests for information from FINRA, the SEC, and the CFTC/NFA.
- Communicate with customers on monitoring and surveillance-related matters.
- Partner with Compliance, Legal, and Technology teams to define requirements for new or enhanced surveillance tools, including vendor system implementation or in-house build.
- Maintain and update Written Supervisory Procedures (WSPs) covering trade surveillance, market manipulation, and associated SAR filing across all product lines, including futures-specific procedures required under NFA Compliance Rule 2-9.
- Monitor for emerging manipulation typologies specific to newer product types (e.g., crypto market abuse, prediction market-specific manipulation such as outcome manipulation or coordinated wash trading).
- Coordinate with the CAT reporting team as needed to support surveillance investigations that rely on CAT data (CAT reporting itself is owned by a separate team).
- Track and report key surveillance metrics (alert volumes, false-positive rates, SAR filing statistics, case aging) to senior management and committees.
- Stay current on regulatory developments across FINRA, SEC, and CFTC/NFA affecting surveillance and AML obligations, and translate them into program and procedural updates.
- Support general compliance initiatives, including procedural review and ad hoc projects.

## Who You Are

- 2–5+ years of trade surveillance and/or AML transaction-monitoring experience at a broker-dealer, FCM, exchange, or regulator; experience building or materially enhancing a surveillance program is a strong plus (versus solely operating an out-of-the-box tool).
- Active licenses: Series 7, Series 63 (or 66), and Series 3 (National Commodity Futures) required; Series 24 preferred.
- Sound working knowledge of relevant rulebooks and regulations, including FINRA Rules 3110/3310, SEC Rule 15c3-5, NFA Compliance Rules 2-4 and 2-9, CFTC Rules 180.1/180.2, CEA Section 4c(a), the Bank Secrecy Act (BSA), the USA PATRIOT Act, and AML/KYC requirements for broker-dealers and NFA introducing brokers, plus awareness of applicable crypto/digital asset regulatory frameworks.
- Demonstrated experience writing and filing SARs, including familiarity with FinCEN SAR forms and BSA/AML narrative-writing standards.
- Experience with surveillance platforms (e.g., NICE Actimize, Nasdaq SMARTS, Eventus Validus, or similar) and blockchain analytical/KYT software; comfort partnering with engineering on custom/in-house surveillance logic, including hands-on experience with data stored on/processed via AWS S3, strongly preferred.
- Strong SQL and data analysis skills; ability to query large trade/order datasets to investigate alerts and validate surveillance logic.
- Strong analytical and investigative skills, with the ability to identify suspicious patterns, conduct detailed investigations, and make sound judgments based on available information.
- Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties, and customers.
- Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization.
- Experience with multi-asset class surveillance a strong plus, particularly any exposure to digital assets or novel/event-contract products.
- Bachelor's degree required; advanced degree or certifications (e.g., CAMS – Certified Anti-Money Laundering Specialist, CFE) a plus.

## Company Perks + Benefits

- Performance Bonuses
- Stock Purchase Options
- Medical/Vision/Dental Benefits
- 401k Plan
- 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!)
- 10 Paid Sick Days
- Gym Membership Reimbursement
- Commuter Benefits
- Pet Insurance
- Wellness & Mental Health Programs
- Charitable Donation Matching
- Two Paid Volunteer Days Off
- Daily catered lunch when in the office
- Full kitchen with snacks and beverages
- In-building gym
- Shuttle to/from Metra

Discretionary Performance Bonus: 8-10% of base salary based on individual and company performance.

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