Compliance Associate
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Job Description
Surveillance & Monitoring:
Monitor and review trading activity for potential market abuse manipulative behavior or other regulatory violations using surveillance tools.
Investigate alerts and escalate potential issues to senior compliance leadership.
Position Limit Oversight:
Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.
Liaise with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.
Compliance Testing & Controls:
Conduct periodic testing to ensure the firms policies and procedures are followed particularly around surveillance trade reporting and position management.
Assist in the development and of the annual compliance testing plan.
Policy & Procedure Review:
Maintain and update internal compliance policies in response to regulatory developments.
Assist with training staff on compliance policies and regulatory changes.
Regulatory Support:
Support responses to regulatory inquiries and audits.
Prepare documentation and reports for internal and external stakeholders as needed.
Qualifications :
- Bachelors degree in Finance Economics Legal Studies or a related field.
- 3 years of experience in a compliance or trade surveillance role at a brokerdealer asset manager or futures commission merchant (FCM).
- Strong understanding of U.S. and global trading regulations (CFTC SEC FINRA NFA and international equivalents).
- Familiarity with surveillance systems (e.g. SMARTS Actimize Eventus or similar platforms).
- Experience with position limit frameworks and exchange rules across major global markets.
Additional Information :
- Experience with both futures and equities markets.
- Working knowledge of algorithmic trading order types and market structure.
- Previous involvement in regulatory exams or inquiries.
- Proficiency in data analysis (Excel SQL Python a plus).
- Strong written and verbal communication skills.
Remote Work :
Yes
Employment Type :
Fulltime
Employment Type
Remote
