Compliance Associate - Trade Surveillance
About The Position
The Junior Trade Surveillance Analyst/Associate will support our Market Surveillance and Compliance function. This role is responsible for reviewing and escalating potentially manipulative or violative trading activity across multiple asset classes. The ideal candidate will have hands-on experience using Nasdaq SMARTS and a solid understanding of U.S. securities market structure. Office Location: Jersey City, NJ/Dallas, TX This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position. For more details about our in-office approach and expectations, please reach out to the recruiter.
Requirements
- 2–3 years of trade surveillance experience at a broker-dealer, clearing firm, exchange, or regulator
- Direct hands-on experience with Nasdaq SMARTS (required)
- Experience reviewing trading activity in equities and options (required)
- Exposure to crypto and futures trading surveillance strongly preferred
- Working knowledge of: U.S. market structure FINRA and exchange rules related to market manipulation and abusive trading
- Strong analytical and investigative skills with attention to detail
- Ability to clearly document findings and communicate issues verbally and in writing
- Comfortable working in a regulated, deadline-driven environment
- Series 7 and 24 (can be obtained during first 6 months of employment)
Nice To Haves
- Experience at a FINRA clearing firm or self-clearing broker-dealer
- Familiarity with regulatory referrals, SAR-supporting reviews, or exam responses
- Interest in developing deeper expertise in multi-asset surveillance
Responsibilities
- Conduct daily trade surveillance reviews using Nasdaq SMARTS across: Equities Listed options Crypto-related products (where applicable) Futures and futures-related instruments
- Analyze 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 detailed trade, order, and account-level reviews to determine whether activity is suspicious or violative
- Escalate findings to senior surveillance staff and Compliance management with clear, well-documented summaries
- Assist with regulatory inquiries, examinations, and requests from FINRA, exchanges, or other regulators
- Maintain accurate documentation and audit trails in accordance with firm WSPs and regulatory requirements
- Support ongoing surveillance model tuning, testing, and alert quality reviews
- Stay current on regulatory developments affecting trade surveillance obligations
Benefits
- Comprehensive Paid Medical Benefits: We prioritize your health with a robust medical benefits plan that covers you and your dependents
- 401k Employer Contribution: We match your contributions to help you grow your retirement savings
- Generous Paid Time Off & Paid Holidays: Take the time you need to recharge and pursue your passions with our generous paid time off policy
- Opportunities for Professional Growth & Development: Invest in your future through hands-on learning, skill-building, and cross-functional work
- Performance Based Bonuses: Your hard work deserves recognition! Enjoy performance-based bonuses that reward your contributions to our team's success
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What This Job Offers
Job Type
Full-time
Career Level
Entry Level
