Job Description
📋 Description Design, build, and test cross-asset surveillance across equities, futures, crypto. Tune thresholds; document methodology and back-testing per FINRA/NFA rules. Review alerts; investigate possible FINRA/SEC/NFA/CFTC violations. Investigate suspicious activity; collaborate with Compliance, Legal, and Operations. Monitor crypto transactions and blockchain activity; KYT risk detection. Draft and file SARs; maintain SAR docs and regulatory reporting. 🎯 Requirements 2-5+ years in trade surveillance/AML at broker-dealer, FCM, or regulator. Active licenses: Series 7/63 (or 66) and Series 3; Series 24 preferred. Regulatory knowledge: FINRA/NFA/CFTC rules; BSA/AML, Patriot Act. Experience with Actimize/SMARTS/Eventus and blockchain analytics; AWS S3. Strong SQL and data analysis; ability to query large datasets. Bachelor's degree; CAMS/CFE a plus. 🎁 Benefits Performance bonuses Stock purchase options Medical/Vision/Dental benefits 401k plan 20 paid vacation days Commuter benefits
