Full-Time Compliance Associate

• Surveillance & Monitoring: Monitor and review trading activity for potential market abuse using surveillance tools. Investigate alerts and escalate potential issues.
• Position Limit Oversight: Track firm and client positions to ensure compliance with exchange and regulatory position limits. Liaise with stakeholders to resolve issues.
• Compliance Testing & Controls: Conduct periodic testing to ensure adherence to firm policies, particularly around surveillance and trade reporting. Assist in the development of the annual compliance testing plan.
• Policy & Procedure Review: Maintain and update internal compliance policies in response to regulatory developments. Assist with staff training on compliance policies and regulatory changes.
• Regulatory Support: Support responses to regulatory inquiries and audits. Prepare documentation and reports for internal and external stakeholders.

• Bachelor’s degree in Finance, Economics, Legal Studies, or a related field.
• 3+ years of experience in a compliance or trade surveillance role.
• Strong understanding of U.S. and global trading regulations (CFTC, SEC, FINRA, NFA).
• Familiarity with surveillance systems (e.g., SMARTS, Actimize, Eventus).
• Experience with position limit frameworks and exchange rules.
• 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.

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