Compliance Officer

Job Description

Responsibilities The Surveillance Testing Officer will be responsible for: Evaluating alert quality, false positive rates, and parameter thresholds, providing recommendations for tuning and configuration to enhance surveillance accuracy and efficiency. Performing scenario-based and continuous testing of surveillance logic to ensure models are functioning as expected and effectively capturing relevant behaviors. Designing, implementing, and maintaining a risk-based surveillance framework that supports comprehensive monitoring of the firm’s global trading activity. Conducting daily post-trade surveillance reviews to identify potential market abuse or integrity concerns, and escalate issues promptly to relevant business partners and senior stakeholders. Collaborating with regional and global compliance teams to identify and implement enhancements to the surveillance infrastructure and platform capabilities. Maintaining clear and complete documentation of testing procedures, results, and methodologies in accordance with internal governance and audit standards. Engaging with internal stakeholders, including compliance and business units, to communicate findings, provide updates, and ensure alignment on surveillance matters. Assisting in responding to regulatory inquiries by gathering and submitting accurate and timely surveillance data and related documentation. Supporting the drafting and review of internal surveillance policies, procedures, and guidance documents to reflect evolving regulatory expectations and firm practices. Participating in special projects and initiatives as required by regional or global compliance teams, contributing subject matter expertise and operational support. Qualifications At least 3 to 5 years of experience in a trade surveillance role designing, testing, and calibrating surveillance models or alert parameters at a financial institution (e.g. investment bank, broker, trading venue/exchange, proprietary trading firm or regulator). Working knowledge of the Nasdaq Trade Surveillance (SMARTS) tool. Good knowledge of Market Conduct/Market Abuse rules and regulatory frameworks. Proven analytical skills, including the analysis of large amounts of order and trade data whilst maintaining attention to detail. The ability to work and prioritize independently coupled with the judgment to involve management with issues as needed. Excellent written and verbal communication skills. Strong Microsoft Excel/Google Sheet knowledge and skills. Preferred Qualifications Knowledge of Cryptocurrency trading, and/or Cryptocurrency surveillance experience. Prior experience with JIRA & Tableau. Working knowledge of coding languages such as SQL and Python. Some exposure to technical aspects of high frequency/algorithmic trading. Show more Show less