Compliance - Market Surveillance Analyst

About the role

This role focuses on maintaining market integrity by performing real-time monitoring of all exchange activities and security feeds. The analyst will identify potential market abuse, such as wash trading or spoofing, and ensure fair price discovery. Utilizing surveillance tools and dashboards, the position involves flagging anomalies and escalating concerns to maintain compliance with margin requirements and position limits.

A key part of the work involves conducting post-trade reviews and forensic analysis of flagged transactions. The analyst will investigate potential rule violations, gather evidence, and draft investigative reports for the Chief Regulatory Officer. This includes preparing detailed findings and recommending appropriate actions to uphold regulatory standards.

The analyst will also ensure adherence to applicable regulations from bodies like the SEC, CFTC, and FINRA, as well as internal policies. Responsibilities extend to assisting with responses to regulatory inquiries and audits, contributing to the development of surveillance protocols, and supporting the enforcement of KYC/AML procedures. Collaboration with Legal, Risk, and Technology teams is essential for improving compliance workflows.

The annual salary for this position ranges from $75,000 to $125,000.

Skills that matter here

• Regulatory Compliance: This role ensures adherence to applicable regulations (e.g., SEC, CFTC, FINRA) and internal policies, assisting with regulatory inquiries and audits.
• Market Surveillance: The analyst performs real-time monitoring of exchange activity to identify potential market abuse and ensure fair price discovery.
• Trade Analysis: This involves conducting post-trade reviews and forensic analysis of flagged transactions to investigate potential rule violations.
• Forensic Analysis: The role requires detailed examination of transactions to uncover and document evidence of potential market manipulation or rule breaches.
• KYC/AML Procedures: The analyst supports the enforcement of Know Your Customer and Anti-Money Laundering procedures and transaction monitoring.
• Surveillance Tools: The role utilizes specific tools and dashboards to flag anomalies and escalate concerns during real-time market monitoring.

Who this role suits

• A person with a Bachelor's Degree in Economics, Finance, Math, or a Juris Doctorate.
• Someone with 4+ years of compliance experience in financial services, particularly in Derivatives or Prediction Markets.
• An individual who is comfortable working in a fast-paced, high-stress environment and can work evenings and weekends as needed.
• A professional with strong communication skills, capable of interacting with market participants, federal regulators, and executive management.

From the employer

Responsibilities

• Real-Time Market Monitoring

Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated.

Monitor real-time market data to ensure participant compliance with margin requirements and position limits.

Utilize surveillance tools and dashboards to flag anomalies and escalate concerns.

• Trade Analysis & Investigation

Conduct post-trade reviews and forensic analysis of flagged transactions.

Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports for presentation to the Chief Regulatory Officer.

Prepare detailed reports on findings and recommend appropriate actions.

• Regulatory Compliance

Ensure adherence to applicable regulations (e.g., SEC, CFTC, FINRA, etc.) and internal policies.

Assist in preparing responses to regulatory inquiries and audits.

• Policy Development & Enforcement

Contribute to the development and refinement of surveillance protocols and compliance frameworks.

Support enforcement of KYC/AML procedures and transaction monitoring.

• Cross-Functional Collaboration

Work closely with Legal, Risk, and Technology teams to improve surveillance systems and compliance workflows.

Liaise with external regulators and industry bodies as needed.

Required Experience

• Bachelor’s Degree in Economics, Finance, Math or Juris Doctorate.
• 4+ years in Compliance in financial services, or equivalent experience.
• Experience in Derivatives or Prediction Markets.
• Experience in Tradfi or Crypto space.
• Familiarity with futures markets, commodities and trading.
• Familiarity with Trade Surveillance Platforms is a must.
• Comfortable working in a fast paced, high-stress environment.
• Ability to communicate with market participants, federal regulators and executive management.
• Knowledge of futures exchange operations, trading, risk management or regulations.
• This role requires flexibility to work weekends and evenings as needed.

Benefits

• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.