Compliance Market Surveillance Analyst
Core
Detecting and investigating trading activity in derivatives markets to identify potential violations of Exchange rules and CFTC Regulations, ensuring fair price discovery and participant compliance.
Role type
Market Surveillance Analyst
Builds
Market advisories, investigations, trade surveillance, and disciplinary actions for a U.S. derivatives exchange
Domain
Financial services, Derivatives, Futures markets, Crypto/Prediction markets
Deliverable
client delivery
Required skills
Trade surveillance, Forensic analysis, Regulatory compliance (SEC, CFTC, FINRA), KYC/AML procedures, Futures exchange operations, Trading and risk management
Preferred skills
Experience in Tradfi or Crypto space, Familiarity with Trade Surveillance Platforms
Technologies
Surveillance tools and dashboards
Responsibilities
Perform real-time monitoring of exchange activity and security feeds to identify market abuse; Monitor real-time market data to ensure compliance with margin requirements and position limits; Conduct post-trade reviews and forensic analysis of flagged transactions; Prepare detailed reports on findings and recommend appropriate actions; Ensure adherence to applicable regulations and internal policies; Contribute to the development and refinement of surveillance protocols and compliance frameworks
Seniority
Mid-level, hands-on IC