Compliance Officer

As a Surveillance Testing Officer, your role will involve the following responsibilities: - 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 required for this role include: - 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 may include: - 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.,