Trade Surveillance Analyst
Manage daily trade-surveillance alerts, investigate potentially manipulative trading activity using market and trade data, document findings, support surveillance-threshold calibration, and prepare materials for CFTC examinations and audits.
Responsibilities
- Triage daily surveillance alerts for spoofing, layering, wash trading, front-running, and other manipulative patterns.
- Investigate alerts using order book data, position information, trade history, SQL, Python, or internal tools.
- Write case summaries for routine closures and escalations.
- Maintain case records and investigation files consistent with CFTC recordkeeping requirements.
- Support calibration of automated surveillance thresholds.
- Prepare documentation and reports for CFTC examinations and regulatory audits.
- Stay current on CFTC rules, DCM Core Principles, and exchange market structure.
Requirements
- 0 to 3 years of experience in trade surveillance, market regulation, exchange operations, or financial services compliance.
- Working knowledge of futures and options markets, order books, and exchange trading mechanics.
- Familiarity with CFTC regulations and DCM Core Principles, or willingness to learn quickly.
- Proficiency in Excel and structured data analysis.
- Strong written communication skills for regulatory case documentation.
- Ability to work independently, manage competing priorities, and exercise sound judgment under time pressure.
- Hands-on experience with automated surveillance platforms such as Nasdaq Surveillance or Validus.
- SQL or Python experience in a compliance or trading context.
- Experience in a regulated financial environment such as an exchange, FCM, or introducing broker.
Benefits
- Equity
- Health coverage
- Vision coverage
- Dental coverage
- 401k match
- New MacBook Pro
- Display
- Accessories