Trading Surveillance Compliance Specialist

4x days a week on site in Jersey City, NJ

In this Trading Surveillance role, you will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations. This role supports the firm’s compliance with FINRA, SEC. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS.

• Conduct daily trade surveillance reviews using NASDAQ SMARTS and related systems across:
  Equities, Options and Digital assets / crypto
• Analyze and disposition surveillance alerts for potential market manipulation, including but not limited to:
  Spoofing and layering, Wash trades, Marking the close, Front-running, Cross-product and cross-market activity
• Perform in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews.
• Prepare, document, and escalate potential regulatory issues in accordance with firm policies and FINRA requirements.
• Respond to regulatory inquiries, including FINRA investigations, Blue Sheet (EBS) requests, Other regulatory data requests and exams

• 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator.
• Series 24 license (preferred)
• Extensive experience surveilling equities and options; crypto surveillance experience required.
• Strong working knowledge of NASDAQ SMARTS.
• Direct experience handling FINRA investigations and Blue Sheet requests.
• Solid understanding of U.S. securities market structure and order types.
• Strong analytical, investigative, and problem-solving skills.

• Surveillance experience covering futures and/or event contracts.
• Experience at a clearing firm or firms supporting introducing broker-dealers.
• Prior involvement in regulatory exams or enforcement actions.