Trade Surveillance Officer

Background: Our client, a regulated broker-dealer, is seeking a Trade Surveillance Associate to support and enhance its market abuse monitoring program. This role focuses on identifying, investigating, and escalating potential instances of market manipulation across multiple asset classes. Key Responsibilities: Monitor and review trade surveillance alerts across equities, fixed income, listed derivatives, and other traded products Investigate potential market manipulation, including spoofing, layering, front-running, wash trades, and other abusive trading behaviors Conduct detailed trade, order, and execution analysis to assess trading patterns, intent, and potential regulatory risk Prepare clear documentation and investigative summaries, escalating matters to senior compliance or legal stakeholders as appropriate Support regulatory inquiries, examinations, and ongoing enhancements to surveillance controls and scenarios Required Qualifications 2–5+ years of experience in trade surveillance, market abuse surveillance, or regulatory investigations Bachelor's degree required Strong understanding of U.S. market abuse rulesand common manipulative trading behaviors

Created: 2026-03-07