Trading Surveillance Compliance Specialist jobs in United States
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HW3 · 1 week ago

Trading Surveillance Compliance Specialist

positionJersey City, NJ
timeFull-time
remoteOnsite
senioritySenior Level
money$140K/yr - $140K/yr
date7+ years exp

HW3 is a firm focused on compliance within the trading sector, and they are seeking a Trading Surveillance Compliance Specialist. This role involves monitoring and investigating potential market abuse and regulatory violations to ensure compliance with FINRA and SEC regulations.

RecruitingStaffing Agency
Hiring Manager
Claire Hynes
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Responsibilities

Conduct daily trade surveillance reviews using NASDAQ SMARTS and related systems across: Equities, Options and Digital assets / crypto
Analyze and disposition surveillance 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 in-depth investigations of trading activity, including pattern analysis, account relationships, and order lifecycle reviews
Prepare, document, and escalate potential regulatory issues in accordance with firm policies and FINRA requirements
Respond to regulatory inquiries, including FINRA investigations, Blue Sheet (EBS) requests, Other regulatory data requests and exams

Qualification

Trade surveillance experienceNASDAQ SMARTSEquitiesOptions surveillanceCrypto surveillanceFINRA investigationsU.S. securities market structureSeries 7 licenseSeries 24 licenseAnalytical skillsInvestigative skillsProblem-solving skills

Required

7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, or regulator
Extensive experience surveilling equities and options; crypto surveillance experience required
Strong working knowledge of NASDAQ SMARTS
Direct experience handling FINRA investigations and Blue Sheet requests
Solid understanding of U.S. securities market structure and order types
Series 7 and Series 24 licenses required (active or able to transfer)
Strong analytical, investigative, and problem-solving skills

Preferred

Surveillance experience covering futures and/or event contracts
Experience at a clearing firm or firms supporting introducing broker-dealers
Prior involvement in regulatory exams or enforcement actions

Company

HW3

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Glassdoor3.0
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HW3 is a global recruitment consultancy that offers staffing and recruitment services within regulated industries.
dateFounded in 2011
location
London, England, GBR
people-size51-200 employees
web-link
https://www.hamlynwilliams.com/

Funding

Current Stage
Growth Stage
Total Funding
$7M
Key Investors
Meraki Capital
2024-07-30Series Unknown· $7M

Leadership Team

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Nick Vaughan
Founder & CEO
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Mark DePanfilis
Client Growth Partner
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Company data provided by crunchbase