Compliance – Market Surveillance Analyst

This is a fully remote position, open to applicants in Illinois.

📋 Description

• Carry out real-time oversight of all exchange activities, security feeds, and product safety information to detect potential market manipulation (such as wash trading and spoofing) and ensure that price discovery remains fair and untainted.

• Observe real-time market data to confirm that participants comply with margin requirements and position limits.

• Employ surveillance tools and dashboards to identify anomalies and escalate issues as required.

• Execute post-trade assessments and forensic examinations of flagged transactions.

• Investigate potential rule infringements by gathering testimonies, compiling documentation, and drafting investigative reports for submission to the Chief Regulatory Officer.

• Prepare comprehensive reports on findings and suggest suitable actions.

• Ensure compliance with relevant regulations (e.g., SEC, CFTC, FINRA) and internal policies.

• Assist in formulating responses to regulatory inquiries and audits.

• Contribute to the development and enhancement of surveillance protocols and compliance frameworks.

• Support the enforcement of KYC/AML procedures and transaction monitoring.

• Collaborate closely with Legal, Risk, and Technology teams to enhance surveillance systems and compliance processes.

• Coordinate with external regulators and industry organizations as necessary.

⛳️ Requirements

• Bachelor’s Degree in Economics, Finance, Mathematics, or Juris Doctorate.

• Over 4 years of experience in Compliance within financial services or a related field.

• Proficient in Derivatives or Prediction Markets.

• Experience in traditional finance (Tradfi) or the cryptocurrency sector.

• Understanding of futures markets, commodities, and trading practices.

• Familiarity with Trade Surveillance Platforms is essential.

• Ability to thrive in a fast-paced, high-pressure environment.

• Strong communication skills to interact with market participants, federal regulators, and executive management.

• Knowledge of futures exchange operations, trading strategies, risk management, or regulations.

• This position requires flexibility to work weekends and evenings as necessary.

🏝️ Benefits

• Competitive salary

• Generous annual leave policy including: birthday and work anniversary

• 401(k) plan with employer matching

• Eligibility for company-sponsored group health, dental, vision, and life/disability insurance

• Flexible work arrangements, including hybrid or remote options

• Opportunities for career advancement through our internal mobility program, offering employees a diverse range of options.