Compliance, Trade Surveillance Associate

Overview

This role supports the integrity of a CFTC-registered designated contract market operated by the derivatives organization within the employer’s Market Regulation Department. You will monitor trade activity, investigate potential violations, and help enforce the organization’s rulebook. Work is remote-first, with quarterly in-person working sessions (“surges”).

Responsibilities

• Investigate potential trade practice violations, including spoofing, wash trading, money pass activity, front running, fraud, and other disruptive trading activity by designated contract market participants to ensure compliance with the organization’s rulebook and applicable CFTC regulations.
• Analyze alerts generated by the organization’s trade surveillance system, triaging and escalating matters requiring 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.
• Provide updates and presentations to the Chief Regulatory Officer, the designated contract market board, and the Regulatory Oversight Committee on matters related to trade activity in accordance with organization rules and procedures.
• Identify patterns and trends across surveillance data that may indicate emerging market risks or systemic compliance gaps, and recommend process improvements to strengthen the surveillance program.

Requirements

• 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.
• Uses generative AI responsibly, maintaining human oversight to deliver business-ready outputs and drive measurable improvements in workflow efficiency, cost, and quality.

Compensation & Benefits

• Annual base salary range (excluding equity and bonus): $108,630—$127,800 USD
• Total compensation may also include equity and bonus eligibility, and benefits (medical, dental, vision, 401(k)).

Application & Equal Opportunity Information

• Application Limit: Candidates may submit a maximum of 3 applications within a 6-month period.
• Equal Opportunity Employer: The employer is an Equal Opportunity Employer. All qualified applicants will receive consideration 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.