Job Description:

Our client, an electronic CFTC regulated New York exchange firm, is seeking a Market Surveillance Analyst to join their team.  The Market Surveillance Analyst will conduct real-time and post-trade market surveillance for disruptive trading practices and rule violations on both the DCM and SEF.  The Market Surveillance Analyst will be required to work London business hours (starting at 2:30 am NY time/7:30 am London time).


Market Surveillance Analyst will be the first responder to review inquiries from traders regarding trading errors or system malfunctions and rejected trades to determine the appropriate course of action.  In coordination with other company Compliance/Regulatory and Control Desk staff, the Market Surveillance Analyst must be able to do the following:

  • Conduct real-time and post-trade market and trade practice surveillance to address alerts and identify and investigate any rule violations by market participants.
  • Analyze and address alerts using the SMARTs system
  • Perform ongoing audit trail reviews
  • Conduct financial surveillance of participants and clearing firms
  • Develop and enforce policies, procedures and processes of the surveillance program
  • Assist other Compliance / Regulatory team members (updating rule book, drafting policies and procedures) and other projects as assigned


  • 0-3 years of relevant experience
  • College degree
  • Excellent written communication skills
  • Good understanding of derivatives trading (preferably swaps and futures), including knowledge of hedging and other trading strategies
  • Able to work independently and with other staff across functional lines, market participants, and representatives of other exchanges, SROs and regulatory agencies
  • Identify external market activity, news and additional factors that influence the price of relevant contracts
  • Current knowledge and awareness of the CFTC core principles and regulations (including Dodd-Frank initiatives) regarding surveillance and trade practice functions of DCMs and SEFs preferred.
  • Experience in a surveillance position within a financial services firm, an exchange or regulatory agency preferred.
  • Knowledgeable of exchange/self-regulatory organization compliance preferred.
  • Salary commensurate with experience.

Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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