Who You Are
What You’ll Own
- 12+ years of prior experience leading Trade/Market surveillance programs at a derivatives exchange, FCM, or broker-dealer.
- Strong working knowledge and experience with Trade Surveillance platforms for alert management and investigation
- Demonstrate a sound understanding of surveillance and product rules, back-office protocols, as well as surveillance and investigative techniques
- Monitor market participation, deliveries, news and economic performance of assigned products and cryptocurrency markets.
- Investigating and clearly communicating issues arising from the electronic trade surveillance monitoring activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines
- Proficient with analyzing data using a variety of tools/methods, including SQL, business intelligence, and visualization tools (Tableau, Looker, SAP)A resourceful and inquisitive mindset that can analyze structured and unstructured data to identify patterns and develop conclusions
- Ability to develop strategies for the detection of disruptive trading practices and financial threats, such as fraud or money laundering
- Technical mindset to enhance the build-out and fine-tuning of surveillance platform
- Prepare periodic reports that are reviewed by management and teams company wide
- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective
- Identify, facilitate, and implement process improvement ideas to improve efficiency
- Analyze risk across markets using surveillance application to safeguard the firm against reputational and/or financial risk
- Maintaining and monitoring a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified
- Impeccable communication skills, verbal and written, are necessary for communicating with market participants
- Savvy research skills to stay up-to-date with current regulatory landscape and compliance requirements of the cryptocurrency industry, CFTC core principles, and trade practice functions of crypto exchanges, and analyzing their impact upon the electronic trade surveillance monitoring program
The starting base pay for this role is between $200,000 and $240,000 USD for all U.S. remote locations. The actual base pay is dependent upon many factors, such as: transferable skillsets, work experience, business needs and market demands. The base pay range is subject to change and may be modified in the future.
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Location: CA Palo Alto, California, United States
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