Trade Surveillance Analyst

You will manage the daily trade-surveillance alert queue, review flagged trading activity, and distinguish genuine risks from false positives. You will investigate potential spoofing, layering, wash trading, front-running, and other manipulative patterns using order book data, position information, trade history, SQL, Python, or internal tools. You will write case summaries, maintain investigation records, escalate appropriate matters to senior staff, help calibrate surveillance thresholds, and prepare materials for CFTC examinations and audits. You will stay current on CFTC rules, DCM Core Principles, and exchange market-structure developments.

Responsibilities

• Triage the daily surveillance alert queue and review flagged trading activity for manipulative patterns.
• Investigate alerts end-to-end using order book data, position information, trade history, SQL, Python, or internal tools.
• Write clear case summaries for routine closures and escalations.
• Maintain accurate case records and investigation files consistent with CFTC Core Principle 2 recordkeeping requirements.
• Support the review and calibration of automated surveillance thresholds.
• Prepare documentation, reports, and materials for CFTC examinations and regulatory audits.
• Stay current on CFTC rules, DCM Core Principles, and exchange market-structure developments.

Requirements

• 0 to 3 years of experience in trade surveillance, market regulation, exchange operations, or financial services compliance.
• Working knowledge of futures and options markets, order books, and exchange trading mechanics.
• Familiarity with CFTC regulations and DCM Core Principles, or willingness to learn them quickly.
• Proficiency in Excel and structured data analysis.
• Strong written communication skills for regulatory case documentation.
• Ability to work independently, manage competing priorities, and make sound judgment calls under time pressure.
• Hands-on experience with automated surveillance platforms such as Nasdaq Surveillance or Validus.
• SQL or Python experience in a compliance or trading context.
• Experience in a regulated financial environment such as an exchange, FCM, or introducing broker.

Benefits

• Equity
• Health coverage
• Vision coverage
• Dental coverage
• 401k match
• New MacBook Pro
• Display
• Accessories