Trade Surveillance VP

A diversified financial services firm is seeking a Trade Surveillance Officer to join its Compliance function. This role will be responsible for the ongoing development, calibration, and execution of broker-dealer trade surveillance across multiple asset classes.

• Perform daily and periodic review of broker-dealer trade surveillance alerts across equities, fixed income, options, ETFs, and other listed products.
• Design, build, configure, and maintain trade surveillance scenarios, alert logic, thresholds, and rule parameters within the firm's surveillance platform.
• Perform technical coding, tuning, and calibration of surveillance alerts to improve effectiveness while minimizing false positives.
• Partner with Compliance, Technology, Quantitative Analytics, and Front Office teams to implement new surveillance models and enhance existing controls.
• Conduct investigations into potential market abuse, including insider trading, market manipulation, spoofing, layering, wash trading, marking the close, front running, and other prohibited trading activity.
• Analyze large datasets using SQL, Python, or similar tools to identify trends, perform root cause analysis, and validate surveillance effectiveness.

• Bachelor's degree in Finance, Economics, Computer Science, Mathematics, or a related discipline.
• 6+ years of experience in Trade Surveillance within a broker-dealer, investment bank, or diversified financial services firm.
• Demonstrated experience configuring and technically developing surveillance alerts and scenarios.