Compliance & Surveillance Analyst

Description

• Monitoring surveillance systems daily to detect potential market manipulation, spoofing, wash trading, and other abusive trading practices
• Investigating suspicious trading behavior and preparing detailed investigative reports
• Maintaining surveillance alert tuning and scenario optimization to ensure effective detection
• Assisting with Part 16 reporting, including interpretation and guidance on PMKTDATA and TCR submissions
• Collaborating with the technology team on daily, weekly, and monthly regulatory reporting requirements
• Conducting daily reviews of trading activity, alert escalations, and flagged patterns
• Supporting regulatory examinations and audit requests
• Documenting compliance procedures and maintaining policy and procedure updates
• Supporting Part 17 large trader reporting, including LTPOS file preparation and Form 102A/102B completion and CFTC portal submissions

Requirements

• High attention to detail and ability to work independently in a fast-paced environment
• You have hands-on experience with surveillance platforms like Validus or similar systems
• Excellent written and verbal communication skills for preparing investigative reports and regulatory correspondence
• Bachelor's degree in Finance, Economics, Business, or related field
• Demonstrated analytical and investigative skills with the ability to identify patterns and anomalies
• 1-3 years of experience in compliance, surveillance, or regulatory reporting, preferably in derivatives markets
• You're familiar with market manipulation schemes and detection methodologies
• Proficiency in Excel and data analysis tools
• Experience working with trade surveillance systems or platforms
• Strong understanding of CFTC regulations and derivatives market structure
• You have a background in energy markets or power trading
• You have direct experience with CFTC Part 17 Large Trader reporting systems
• You have direct experience with CFTC Part 150 and Position Limits

Benefits

• Supplemental health and disability insurance
• Unlimited vacation
• Health, vision and dental insurance

Training + Development

Interview process

Visa Sponsorship

Security clearance