Responsibilities
- Design, evaluate, and validate trade-monitoring scenarios, alert logic, escalation protocols, and control documentation
- Ensure all procedures and processes are thoroughly documented and shared with relevant parties, with updates reviewed at least annually
- Monitor trading activity through Surveyor and internal systems to detect possible market abuse, suspicious behavior, or unusual order patterns
- Investigate alerts related to potential spoofing, layering, wash trading, front-running, insider trading, manipulative orders, or information-barrier breaches
- Assess trading behavior in light of market conditions, client history, account activity, transaction trends, and internal data to judge normalcy or suspicion
- Perform real-time and post-trade assessments to identify irregularities, evaluate risk levels, and determine if escalation is warranted
- Maintain clear records of surveillance activities, investigative steps, evidence examined, reasoning, findings, and recommended actions
- Refer high-risk or suspicious cases to AML leadership, Compliance, Legal, Risk, and other internal teams as appropriate
- Collaborate with AML on trading-related investigations that may lead to suspicious activity reporting or SAR filings
- Support KYC/AML and transaction monitoring by detecting trading patterns that suggest financial crime, fraud, or market manipulation
- Respond to internal alerts concerning trading behavior, account anomalies, or potential policy violations
- Assist in regulatory examinations, audits, internal reviews, and other inquiries related to trade surveillance and market integrity
- Work with Compliance, Legal, Risk, Technology, Operations, and business units to enhance surveillance systems and investigative processes
- Identify emerging risks, new suspicious trading methods, control weaknesses, and opportunities to strengthen surveillance effectiveness
- Generate clear summaries, performance metrics, and management reports on surveillance activity, alert trends, and investigation outcomes
- Stay current on market abuse risks, AML indicators, trading behaviors, and regulatory expectations relevant to the firm’s operations
Requirements
- Minimum of five years in fintech trade surveillance, AML investigations, transaction monitoring, financial crime compliance, brokerage compliance, market surveillance, risk management, or a related control role
- Professional experience at a broker-dealer, fintech company, trading platform, exchange, introducing broker, clearing firm, market maker, proprietary trading firm, crypto trading entity, or other regulated financial institution
- Solid grasp of trading operations, order flow, market structure, client behavior, and red flags for market manipulation or suspicious activity
- Knowledge of market abuse techniques such as spoofing, layering, wash trading, front-running, insider trading, and manipulative order behavior
- Ability to analyze trading data, detect behavioral anomalies, investigate exceptions, and draw well-reasoned conclusions
- Experience creating clear, concise, and audit-compliant investigation documentation
- Strong analytical abilities, sound judgment, attention to detail, and capacity to manage multiple concurrent reviews or investigations
- High ethical standards, discretion, and appropriate handling of sensitive information
- Excellent written and verbal communication skills, including explaining complex trading activity to non-trading stakeholders
- Capacity to work independently while engaging effectively across teams in a dynamic environment
- Hold a valid FINRA Series 7 license
Nice to Have
- Experience using Surveyor by Trillium for trade surveillance, alert review, investigations, or escalation workflows
- Possession of FINRA Series 24 license
Compensation
Not specified
Work Arrangement
Not specified
Team
Financial Crimes Department
Required
- 5+ years of experience in Fintech trade surveillance, AML investigations, transaction monitoring, financial-crime compliance, brokerage compliance, market surveillance, risk, investigations, or a related control function
- Experience working at a broker-dealer, fintech, trading platform, exchange, introducing broker, clearing firm, market maker, proprietary trading firm, crypto trading or other regulated financial institution
- Strong understanding of trading activity, order behavior, market structure, customer activity, and potential indicators of market manipulation or suspicious activity
- Familiarity with market-abuse typologies, including spoofing, layering, wash trading, front-running, insider trading, unusual price or volume activity, and manipulative order behavior
- Ability to review trading data, identify behavioral patterns, investigate exceptions, and form well-supported conclusions
- Experience documenting investigations in a clear, concise, and audit-ready manner
- Strong analytical skills, sound judgment, attention to detail, and ability to prioritize multiple reviews or investigations
- High integrity, discretion, and ability to handle confidential information appropriately
- Strong written and verbal communication skills, including the ability to explain complex trading activity to AML, Compliance, Legal, Risk, Technology, and business stakeholders
- Ability to work independently while collaborating across teams in a fast-paced environment
- FINRA Series 7 license
Preferred
- Experience using Surveyor by Trillium for trade surveillance, alert review, investigation, or escalation workflows
- FINRA Series 24
Not specified
