Compliance Associate

• Surveillance & Monitoring:

  • Monitor and review trading activity for potential market abuse manipulative behavior or other regulatory violations using surveillance tools.

  • Investigate alerts and escalate potential issues to senior compliance leadership.

• Position Limit Oversight:

  • Track and monitor firm and client positions to ensure compliance with exchange and regulatory position limits.

  • Liaise with internal stakeholders and exchanges to resolve issues and ensure adherence to applicable limits.

• Compliance Testing & Controls:

  • Conduct periodic testing to ensure the firms policies and procedures are followed particularly around surveillance trade reporting and position management.

  • Assist in the development and of the annual compliance testing plan.

• Policy & Procedure Review:

  • Maintain and update internal compliance policies in response to regulatory developments.

  • Assist with training staff on compliance policies and regulatory changes.

• Regulatory Support:

  • Support responses to regulatory inquiries and audits.

  • Prepare documentation and reports for internal and external stakeholders as needed.

Qualifications :

• Bachelors degree in Finance Economics Legal Studies or a related field.
• 3 years of experience in a compliance or trade surveillance role at a brokerdealer asset manager or futures commission merchant (FCM).
• Strong understanding of U.S. and global trading regulations (CFTC SEC FINRA NFA and international equivalents).
• Familiarity with surveillance systems (e.g. SMARTS Actimize Eventus or similar platforms).
• Experience with position limit frameworks and exchange rules across major global markets.

Additional Information :

• Experience with both futures and equities markets.
• Working knowledge of algorithmic trading order types and market structure.
• Previous involvement in regulatory exams or inquiries.
• Proficiency in data analysis (Excel SQL Python a plus).
• Strong written and verbal communication skills.

Remote Work :

Yes

Employment Type :

Fulltime