Trade Surveillance Principal Associate (Broker-Dealer & Swap Dealer)
Core
Conduct day-to-day surveillance monitoring and lead deep-dive investigations into complex trading activities to ensure compliance with SEC, FINRA, CFTC, and NFA regulatory requirements.
Role type
Senior IC trade surveillance analyst (market conduct)
Builds
Defensive closing rationales and evidentiary trails for market abuse investigations
Domain
Financial services, regulatory compliance, market conduct
Deliverable
dashboards & analysis
Required skills
Trade surveillance, market regulation, complex trade investigations, regulatory compliance (SEC/FINRA/CFTC/NFA), data integrity checks, systems reconciliation, audit support, alert dispositioning, parameter calibration
Preferred skills
OTC swaps knowledge, traditional securities knowledge, rule-based surveillance platforms, AI optimization
Technologies
NICE Actimize, Eventus Validus, FIS Protegent
Responsibilities
Execute daily surveillance reviews and complex alert analyses for Broker-Dealer and Swap Dealer trading activities; analyze cross-market execution data to detect and evaluate manipulative patterns; formally escalate high-risk trading anomalies to Compliance management; assist in maintenance and optimization of surveillance procedures and alert logic; perform data completeness and accuracy checks for surveillance feeds; conduct reconciliations between trading systems of record and the trade surveillance platform; maintain comprehensive, audit-ready documentation of all alert reviews; gather documentation and perform initial analysis to support responses for internal audits and regulatory inquiries; collaborate with Compliance Advisory, Product, Technology, Risk, and Line of Business to resolve compliance issues
Seniority
Senior, hands-on IC