VP, Compliance Market Surveillance

About the role

This role focuses on maintaining market integrity by actively monitoring trading and market activities. The VP will be responsible for identifying and addressing suspicious conduct such as fraud, manipulation, and insider trading. This involves both developing and implementing fraud prevention strategies, as well as investigating alerts from surveillance systems and preparing detailed reports with recommendations.

The position requires close collaboration with various teams, including external vendors and internal engineering, to ensure alignment on compliance policies and controls. A key aspect of the work is staying informed about industry developments and regulatory changes to keep compliance measures robust and proactive. The successful candidate will also champion the thoughtful adoption of AI tools to enhance team performance and productivity.

Success in this role means effectively enforcing compliance policies and controls within a fast-paced, evolving regulatory landscape. It involves applying traditional financial and legal concepts to the crypto space, troubleshooting data quality issues, and partnering with technology teams to maintain and enhance surveillance platforms. The ideal candidate will be a self-starter who can manage multiple projects while maintaining a high level of professionalism.

The listed salary range for this position is between $150,000 and $200,000 USD.

Skills that matter here

• compliance surveillance experience: The role requires 3 to 5 years of direct experience in compliance surveillance to monitor trading and market activity.
• traditional financial markets: A background in traditional financial markets, particularly sell-side experience supporting trading desks, is preferred for understanding market dynamics.
• trade and market data: Experience with trade and market data is necessary for identifying and resolving data quality, mapping, and integration issues.
• AI tools: The role encourages leveraging AI tools like generative AI and automation platforms to improve productivity and decision-making.
• regulatory requirements: Ensuring adherence to various regulatory bodies such as the SEC, FINRA, CFTC, and FCA is a core responsibility.

Who this role suits

• A highly organized individual with meticulous attention to detail, capable of delivering quality work in a high-volume environment.
• Someone who can apply traditional financial and legal concepts to the crypto space, navigating ambiguity and solving complex problems.
• A self-motivated professional comfortable managing multiple projects simultaneously in a rapidly changing regulatory landscape.
• A collaborative team member with strong business judgment and excellent communication skills, both written and oral.

From the employer

• Monitor trading and market activity to detect and address suspicious conduct, including fraud, market manipulation, insider trading, and other abusive practices.
• Develop and implement fraud detection and prevention strategies in alignment with organizational and regulatory requirements.
• Coordinate with external vendors and the internal engineering team to align relevant stakeholders.
• Partner with cross-functional teams to establish, refine, and enforce compliance policies and controls.
• Investigate and analyze alerts from surveillance systems and prepare reports on findings with actionable recommendations.
• Ensure adherence to applicable regulatory requirements, including those of the SEC, FINRA, CFTC, FCA, and other relevant bodies.
• Stay current on industry developments, emerging risks, and regulatory changes to ensure compliance measures remain robust and proactive.
• Embrace and champion the thoughtful adoption of AI to improve team performance and business outcomes.
• Leverage AI tools (e.g., generative AI, automation platforms, data copilots) to improve productivity, decision-making, and output quality in your day-to-day work.

• Highly organized with meticulous attention to detail and a proven ability to deliver quality work in a fast-paced, high-volume environment.
• Ability to apply traditional financial and legal concepts within the crypto space to navigate ambiguous situations and solve complex, novel problems.
• 3 to 5 years of compliance surveillance experience.
• Product knowledge and transactional or regulatory experience within traditional Over-The-Counter “OTC” businesses.
• Background in traditional financial markets; sell-side experience supporting trading desks preferred.
• Comfortable managing multiple projects simultaneously in a fast-paced, evolving regulatory environment.
• Experience working with trade and market data, including the ability to identify and troubleshoot data quality, mapping, and integration issues.
• Familiarity with the flow of trading data from source systems into surveillance platforms, including validating data mappings, reconciling discrepancies, and partnering with Technology teams to support enhancements, testing, and ongoing system maintenance, is highly desirable.
• Highly motivated, self-starter who takes initiative.
• Positive attitude, and willingness to roll up sleeves (no job too big, no job too small).
• Ability to think creatively and propose commercially pragmatic solutions.
• Collaborative team member with a high level of professionalism and business judgment.
• Excellent written and oral communication skills.

• Competitive base salary and discretionary bonus
• Hybrid/Flexible Working Arrangements
• Flexible Time Off (paid)
• 3% 401(k) company contribution
• Company-paid health and protective benefits for employees, partners, and other dependents
• Generous paid Parental Leave
• Competitive family planning benefits for US employees
• Opportunities to learn about the Crypto industry
• Smart, entrepreneurial, and fun colleagues
• Free daily snacks and weekly breakfasts/lunches
• Employee Resource Groups
• Free coaching and counseling sessions through Headspace.