Compliance Officer

As a Surveillance Testing Officer, you will play a crucial role in enhancing the surveillance accuracy and efficiency within the firm. Your responsibilities will include: - Evaluating alert quality, false positive rates, and parameter thresholds to make recommendations for tuning and configuration. - Performing scenario-based and continuous testing of surveillance logic to ensure effective capture of relevant behaviors. - Designing, implementing, and maintaining a risk-based surveillance framework for comprehensive monitoring of global trading activity. - Conducting daily post-trade surveillance reviews to identify potential market abuse or integrity concerns and promptly escalate issues. - Collaborating with compliance teams to identify and implement enhancements to the surveillance infrastructure. - Maintaining clear documentation of testing procedures, results, and methodologies in accordance with internal standards. - Engaging with internal stakeholders to communicate findings, provide updates, and ensure alignment on surveillance matters. - Assisting in responding to regulatory inquiries by gathering and submitting accurate surveillance data. - Supporting the drafting and review of internal surveillance policies and procedures to reflect regulatory expectations. - Participating in special projects and initiatives to contribute subject matter expertise and operational support. Qualifications: - 3 to 5 years of experience in a trade surveillance role at a financial institution. - Working knowledge of the Nasdaq Trade Surveillance (SMARTS) tool. - Good understanding of Market Conduct/Market Abuse rules and regulatory frameworks. - Strong analytical skills with attention to detail. - Ability to work independently, prioritize tasks, and involve management when necessary. - Excellent written and verbal communication skills. - Proficiency in Microsoft Excel/Google Sheets. Preferred Qualifications: - Knowledge of Cryptocurrency trading or surveillance experience. - Experience with JIRA & Tableau. - Working knowledge of coding languages such as SQL and Python. - Exposure to technical aspects of high frequency/algorithmic trading.,