Compliance - Market Surveillance Analyst

About the role

This role focuses on maintaining market integrity by performing real-time monitoring of exchange activities, security feeds, and product safety data. The analyst will identify potential market abuse like wash trading or spoofing, ensuring fair price discovery. Responsibilities also include monitoring market data for compliance with margin requirements and position limits, utilizing surveillance tools to flag anomalies, and escalating concerns as needed.

A key component of the position involves conducting post-trade reviews and forensic analysis of flagged transactions. The analyst will investigate potential rule violations, gather evidence, compile records, and draft investigative reports for presentation to the Chief Regulatory Officer. This includes preparing detailed reports on findings and recommending appropriate actions to address compliance breaches.

The analyst will ensure adherence to relevant regulations from bodies like the SEC, CFTC, and FINRA, as well as internal company policies. This includes assisting in preparing responses to regulatory inquiries and audits. The role also contributes to developing and refining surveillance protocols and compliance frameworks, supporting the enforcement of KYC/AML procedures and transaction monitoring. Collaboration with legal, risk, and technology teams is essential to improve surveillance systems and compliance workflows.

The listed salary range for this position is between $75,000 and $125,000 USD.

Skills that matter here

• Data Analysis: This skill is used to conduct post-trade reviews and forensic analysis of flagged transactions.
• Market Surveillance: This skill is central to the role, involving real-time monitoring of exchange activity to identify potential market abuse.
• Compliance: This skill is critical for ensuring adherence to applicable regulations and internal policies within the financial services sector.
• Regulatory Compliance: This skill is applied when assisting in preparing responses to regulatory inquiries and audits, and ensuring alignment with regulatory bodies like the SEC and CFTC.

Who this role suits

• A person who thrives in a fast-paced, high-stress environment and can adapt to working weekends and evenings as needed.
• Someone with a background in financial services compliance, specifically with experience in derivatives, prediction markets, or futures markets.
• An individual comfortable communicating with market participants, federal regulators, and executive management.
• A candidate with a strong understanding of futures exchange operations, trading, risk management, or regulations.

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.
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.
• Work Perks: crypto.com visa card provided upon joining.