Senior Compliance Associate – Market Surveillance

This is a fully remote position, open to applicants in United Kingdom, +5 more countries.

📋 Description

• Evaluate and resolve surveillance alerts in regulated markets while accurately documenting the rationale behind decisions.

• Perform analytical assessments utilizing trade and order data.

• Investigate escalated behaviors comprehensively, including data collection, event reconstruction, and detailed case reports.

• Review internal and external referrals, and progress necessary matters.

• Prepare suspicious transaction and order reports as well as suspicious activity reports.

• Generate management information and regulatory reports.

• Contribute to the enhancement of surveillance platforms and tools, including the addition of products and data sources and testing detection functionalities.

• Leverage AI and automation tools to expedite evidence collection and case reconstruction while exercising human judgment.

• Conduct market surveillance across various domains including spot crypto markets, crypto futures, tokenized equities, OTC markets, and consumer trading.

⛳️ Requirements

• Minimum of 2 years of experience in trade surveillance, market abuse investigations, or trading conduct within a regulated organization, such as an exchange, broker-dealer, trading venue, bank, or similar regulated trading entity.

• Proficient understanding of fundamental market abuse typologies, including spoofing, layering, wash trading, insider trading, front running, and ramping.

• Experience in reviewing and resolving surveillance alerts and producing findings to a dependable standard.

• Strong written communication skills with an evidence-first approach.

• Comfortable utilizing generative AI and other automation tools for investigative tasks while ensuring necessary oversight.

• Must be based in the UK, Ireland, Cyprus, Malta, Romania, or Canada.

• Proficiency in English is required.

🏝️ Benefits

• Flexible remote work options.

• Opportunity to collaborate with a globally accessible open finance and crypto platform.

• Commitment to equal opportunity employment.

• Consistent application of job-related skills or work-style assessments.

• Ability to redact age, date of birth, and educational attendance/graduation dates from resumes.

• Consideration for qualified candidates with criminal records in accordance with the San Francisco Fair Chance Ordinance.