Responsibilities

• Real-Time Market Monitoring

Perform real-time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.) and ensure price discovery is fair and not manipulated. Monitor real-time market data to ensure participant compliance with margin requirements and position limits. Utilize surveillance tools and dashboards to flag anomalies and escalate concerns.

• Trade Analysis & Investigation

Conduct post-trade reviews and forensic analysis of flagged transactions. Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports for presentation to the Chief Regulatory Officer. Prepare detailed reports on findings and recommend appropriate actions.

• Regulatory Compliance

Ensure adherence to applicable regulations (e.g., SEC, CFTC, FINRA, etc.) and internal policies. Assist in preparing responses to regulatory inquiries and audits.

• Policy Development & Enforcement

Contribute to the development and refinement of surveillance protocols and compliance frameworks. Support enforcement of KYC/AML procedures and transaction monitoring.

• Cross-Functional Collaboration

Work closely with Legal, Risk, and Technology teams to improve surveillance systems and compliance workflows. Liaise with external regulators and industry bodies as needed.

Required Experience

• Bachelor’s Degree in Economics, Finance, Math or Juris Doctorate.
• 4+ years in Compliance in financial services, or equivalent experience.
• Experience in Derivatives or Prediction Markets.
• Experience in Tradfi or Crypto space.
• Familiarity with futures markets, commodities and trading.
• Familiarity with Trade Surveillance Platforms is a must.
• Comfortable working in a fast paced, high-stress environment.
• Ability to communicate with market participants, federal regulators and executive management.
• Knowledge of futures exchange operations, trading, risk management or regulations.
• This role requires flexibility to work weekends and evenings as needed.

Benefits

• Competitive salary
• Attractive annual leave entitlement including: birthday, work anniversary
• 401(k) plan with employer match
• Eligible for company-sponsored group health, dental, vision, and life/disability insurance
• Work Flexibility Adoption. Flexi-work hour and hybrid or remote set-up
• Aspire career alternatives through us. Our internal mobility program can offer employees a diverse scope.