Compliance, Trade Surveillance Associate
Investigates trade surveillance alerts and potential market-rule violations for a regulated derivatives exchange. The role requires at least three years of surveillance experience, derivatives and CFTC regulatory knowledge, strong investigative writing, and the ability to manage concurrent regulatory matters.
About the job
Responsibilities
- Investigate potential trade practice violations, including spoofing, wash trading, money pass activity, front running, fraud, and other disruptive trading activity, ensuring compliance with the rulebook and applicable CFTC regulations.
- Analyze alerts generated by the trade surveillance system, triage findings, and escalate matters requiring heightened review.
- Produce investigative reports documenting observations, findings, and assessments while maintaining required records.
- Deliver updates and presentations to regulatory leadership, the board, and oversight committees on matters related to trade activity.
- Identify patterns and trends in surveillance data that may indicate emerging market risks or systemic compliance gaps.
- Recommend process improvements to strengthen the surveillance program.
Requirements
- 3+ years of experience providing market and trade surveillance support for regulated entities such as designated contract markets, derivatives clearing organizations, exchanges, broker-dealers, or comparable organizations.
- Strong understanding of market fundamentals, derivatives trading practices, investigative techniques, surveillance techniques, CFTC regulations, and exchange rulebooks.
- Ability to produce clear investigative memoranda, reports, and presentations that synthesize complex trading data for stakeholders, including regulators.
- Ability to manage multiple concurrent investigations and regulatory deadlines accurately and thoroughly.
- Responsible use of generative AI with human oversight to deliver business-ready outputs and improve workflow efficiency, cost, and quality.
Compensation
- Annual base salary: $108,630–$127,800 USD.
- Additional compensation may include equity, bonus eligibility, and medical, dental, vision, and 401(k) benefits.
Skills
Trade Surveillance, Market Regulation, Derivatives Trading, Cftc Regulations, Exchange Rulebooks, Investigations, Market Fundamentals, Surveillance Systems, Generative AI
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