Compliance, Trade Surveillance Associate

4 дн. назад

USARemote

trade surveillanceinvestigationreportingcompliance

Monitor trade activity and investigate potential violations to ensure compliance with regulatory obligations at .

Обязанности

Investigate potential trade practice violations, including spoofing, wash trading, money pass activity, front running, fraud, and other disruptive trading activity by CDE participants to ensure compliance with CDE's rulebook and applicable CFTC regulations.
Analyze alerts generated by CDE's trade surveillance system, triaging and escalating matters that require heightened review in partnership with Market Regulation Department leadership.
Produce investigative reports documenting observations, findings, and assessments, maintaining compliance with recordkeeping requirements for all inquiries and investigations.
Deliver updates and presentations to the Chief Regulatory Officer, CDE Board, and Regulatory Oversight Committee on matters related to trade activity in accordance with CDE rules and procedures.
Identify patterns and trends across surveillance data that may indicate emerging market risks or systemic compliance gaps, recommending process improvements to strengthen the program.

Другое

Ready to do the most impactful work of your career? At  , we are uncompromising on our mission to increase economic freedom. The bar is high, the environment is intense, and we like it that way. This isn't a place for complacency, it’s a place to be pushed past your perceived limits. If you're ready to build the future of finance alongside people who refuse to settle for "good enough," you belong here. is a remote-first, but not remote-only company. Expect to get together quarterly for intense in-person working sessions called “surges.”  learn more about working at .
As a Trade Surveillance Associate in the Market Regulation Department of Derivatives, LLC (CDE), you'll help ensure the integrity of 's CFTC-registered designated contract market by monitoring trade activity, investigating potential violations, and enforcing CDE's rulebook. Working closely with the Chief Regulatory Officer and Market Regulation Department, you'll analyze surveillance alerts, conduct investigations into disruptive trading practices, and produce the reports and documentation that support CDE's regulatory obligations as a self-regulatory organization.
3+ years of experience providing market and trade surveillance support for regulated entities (DCMs, DCOs, exchanges, broker-dealers, or comparable).
Sound understanding of market fundamentals, derivatives trading practices, and investigative and surveillance techniques, with the ability to apply CFTC regulations and exchange rulebooks to specific trading scenarios.
Demonstrated ability to produce clear, well-organized investigative memoranda, reports, and presentations that synthesize complex trading data for stakeholders at all levels, including regulators.
Experience managing multiple concurrent investigations and regulatory deadlines while maintaining accuracy and thoroughness across all active matters.
Utilizes generative AI responsibly, maintaining human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality.
Pay Transparency Notice: Base salary varies by location (see range below). Total compensation may also include equity and bonus eligibility, and benefits (medical, dental, vision, 401(k)). 
 
Application Limit: Candidates may submit a maximum of 3 applications within a 6-month period.
Equal Opportunity Employer: is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status, or genetic information. Applicants with criminal histories will be considered consistent with applicable federal, state, and local laws.
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