Market Surveillance Analyst

Stellenbeschreibung:

• Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated.
• Monitor real-time market data to ensure participant compliance with margin requirements and position limits.
• Utilize surveillance tools and dashboards to flag anomalies and elevate concerns.
• Conduct post-trade reviews and forensic analysis of flagged transactions.
• Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports for presentation to the Chief Regulatory Officer.
• Prepare detailed reports on findings and recommend appropriate actions.
• Ensure adherence to applicable regulations (e.g., SEC, CFTC, FINRA, etc.) and internal policies.
• Assist in preparing responses to regulatory inquiries and audits.
• Contribute to the development and refinement of surveillance protocols and compliance frameworks.
• Support enforcement of KYC/AML procedures and transaction monitoring.
• Work closely with Legal, Risk, and Technology teams to improve surveillance systems and compliance workflows.
• Liaise with external regulators and industry bodies as needed.

Requirements

Bachelor’s Degree in Economics, Finance, Math or Juris Doctorate.
4+ years in Compliance in financial services, or equivalent experience.
Experience in Derivatives or Prediction Markets
Experience in Tradfi or Crypto space
Familiarity with futures markets, commodities and trading.
Familiarity with Trade Surveillance Platforms is a must.
Comfortable working in a fast paced, high-stress environment.
Ability to communicate with market participants, federal regulators and executive management.
Knowledge of futures exchange operations, trading, risk management or regulations.
This role requires flexibility to work weekends and evenings as needed.

Demonstrates expertise in compliance monitoring and investigation within financial services, with a strong focus on market abuse detection, regulatory adherence, and the use of surveillance tools. Proficient in preparing detailed reports and collaborating with cross-functional teams to enhance compliance frameworks.