Compliance Officer

Responsibilities:

The Surveillance Testing Officer will be responsible for:

• 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:

• 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:

• 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.