Sr. Compliance Associate - Market Surveillance
Core
Review and disposition surveillance alerts, investigate market abuse, and produce regulatory reports for regulated crypto and traditional trading venues.
Role type
Senior Compliance Associate (Market Surveillance)
Builds
Market surveillance programme and regulatory reporting for regulated trading venues
Domain
Financial services / Crypto assets / Market regulation
Required skills
Trade surveillance, Market abuse investigation, Alert disposition, Regulatory reporting, Evidence-based analysis, AI/automation tools
Preferred skills
Crypto-asset market experience, Surveillance platforms (Scila, Nasdaq SMARTS, Eventus, NICE Actimize), SQL, Electronic communications surveillance
Technologies
Scila, Nasdaq SMARTS, Eventus, NICE Actimize, SQL, Generative AI
Responsibilities
Review and disposition surveillance alerts, Carry out analytical reviews starting with trade and order data, Investigate escalated behaviour end to end, Assess referrals and take forward warranted cases, Draft suspicious transaction and order reports, Produce management information and regulatory reporting, Contribute to surveillance platform and tooling work
Seniority
Senior, hands-on IC