Trade Surveillance Associate

I’m supporting a Trade Surveillance Associate opportunity with a rapidly growing trading and markets-focused organization. The firm is continuing to expand its regulatory and surveillance capabilities and is looking for someone who can play a key role in monitoring trading activity, advising on regulatory requirements, and supporting market conduct oversight across the platform. This is a full-time role responsible for overseeing daily trade and transaction surveillance, reviewing and escalating alerts, and partnering with technology teams to refine and optimize surveillance parameters. You would serve as a subject‑matter expert on CFTC, NFA, and exchange (DCM/SEF) rules, providing regulatory guidance to front‑office and operational teams, supporting examinations, and contributing to the development of policies, procedures, and controls. The position also involves leading investigations, maintaining regulatory records, delivering compliance training, and working closely with the Chief Compliance Officer on broader compliance strategy and governance initiatives. Quick Overview

Oversee trade and transaction surveillance activities to detect potential market abuse, manipulation, or rule violations. Manage daily and periodic reviews of alerts generated by surveillance platforms. Provide subject‑matter expertise on CFTC, NFA, and exchange (DCM/SEF) regulations and interpretations.

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