Compliance Officer

This role is well suited to a surveillance professional who combines markets knowledge, investigative judgment, and strong analytical skills and wants exposure to a diverse trading environment and multiple asset classes. The position will focus on identifying potentially problematic activity through trade, electronic communications, and voice surveillance across a broad range of financial products and trading venues.

The Opportunity

A global financial-services firm is seeking a Market Surveillance Compliance Officer to support its U.S. Broker-dealer and futures businesses. The position will focus on identifying potentially problematic activity through trade, electronic communications, and voice surveillance across a broad range of financial products and trading venues.

This is a hands-on surveillance role offering exposure to equities, fixed income, commodities, futures, options, swaps, and other derivatives, as well as opportunities to contribute to broader compliance initiatives.

What You ll Do

• Review and investigate alerts generated through trade, electronic communications, and voice surveillance systems.
• Analyze trading activity and communications to determine whether alerts represent legitimate concerns or can be reasonably closed.
• Document alert dispositions clearly, including the analysis and rationale supporting each conclusion.
• Request additional information from traders, clients, or other stakeholders when necessary to complete an investigation.
• Escalate potentially suspicious or problematic activity to Compliance leadership with appropriate supporting evidence.
• Follow through on escalated matters and outstanding surveillance issues through resolution.
• Prepare surveillance reporting and metrics covering areas such as business line, trading desk, alert type, trader, client, and review period.
• Partner with Compliance and front-office teams to provide surveillance-related guidance and context around trading activity.
• Support the ongoing development and enhancement of the firm's surveillance framework.

Surveillance Testing & Optimization

• Test trade and order data to confirm that information flowing from order and execution management systems into surveillance platforms is accurate and complete.
• Participate in the calibration and effectiveness testing of existing and newly implemented surveillance scenarios.
• Conduct and document user acceptance testing (UAT) for new or modified surveillance rules and scenarios.
• Identify opportunities to improve alert quality, increase detection of meaningful activity, and reduce unnecessary false-positive volume without weakening surveillance coverage.
• Assist with evaluating potential surveillance gaps and improving the overall effectiveness of monitoring controls.

Regulatory & Risk Responsibilities

• Support compliance with applicable U.S. Securities, derivatives, and futures regulatory requirements, including those administered by the SEC, FINRA, CFTC, NFA, and relevant exchanges.
• Stay current on regulatory developments, enforcement activity, market events, and emerging surveillance risks.
• Follow established compliance, operational-risk, and internal-control requirements.
• Promptly identify and escalate potential policy violations, control failures, or other risk events.
• Contribute to broader compliance and risk-management initiatives as needed.

What We re Looking For

• Previous trade or communications surveillance experience within financial markets.
• Strong understanding of financial products, trading activity, market structure, and the mechanics of financial markets.
• Experience operating within a regulated broker-dealer, futures, trading, banking, or comparable financial-services environment.
• Ability to analyze and interpret trading and surveillance data and reach well-supported conclusions.
• Strong investigative instincts and the ability to distinguish meaningful activity from false positives.
• Excellent written communication skills, particularly when documenting investigations and escalation decisions.
• Ability to manage multiple alert queues, investigations, and projects in a fast-paced environment.
• Strong interpersonal skills and confidence communicating with traders, Compliance professionals, management, and other stakeholders.
• Proficiency with Excel and other standard Microsoft Office applications.
• Comfort using emerging technology and AI-enabled tools while independently validating outputs and maintaining appropriate compliance and control standards.

PREFERRED EXPERIENCE

• Bachelor's degree in Finance, Economics, Business, or a related discipline.
• Experience covering multiple asset classes, particularly equities, fixed income, commodities, futures, options, and swaps.
• Familiarity with both broker-dealer and FCM regulatory environments.
• Experience with surveillance scenario calibration, data validation, UAT, or surveillance-system enhancements.

This role is well suited to a surveillance professional who combines markets knowledge, investigative judgment, and strong analytical skills and wants exposure to a diverse trading environment and multiple asset classes.