Market Surveillance Specialist

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Job description

Symbridge is looking for a Market Surveillance Specialist who will be part of a global team and provide overall expertise on Market Surveillance Compliance. This is an incredible opportunity to join a fully funded, innovative, early-stage Fintech that will transform digital trading platforms.

Are you a seasoned Compliance professional who loves to collaborate across the enterprise with strong cross-functional planning and prioritization skills? Do you have a passion for evolving technologies such as Blockchain? Are you a leader who can manage major projects?

As a Market Surveillance Specialist, you will be a core member of the Compliance team and will report to the Chief Compliance Officer. You should possess a deep knowledge of Trading Surveillance/Market Surveillance, testing and how it correlates with one another.

What makes this a great opportunity:

Leading technology platform in the emerging digital asset exchange space

Be involved in a complex global infrastructure in a cutting edge FinTech firm

Opportunity to make an impact and have your voice heard

What you'll do:

Conduct surveillance of trading activity to prevent and detect any non-compliant or abusive market activity or operational practices, review electronically generated alerts, and address market participant inquires

Oversee electronic regulatory reporting and filings

Assist with the development and implementation of effective surveillance and monitoring controls applicable to the various business lines

Report any violations accurately and timely following through to resolution

Assist in preparing monthly and quarterly compliance trading related reports for internal reporting purposes.

Utilize knowledge of global regulation and firm policies related to trading and trade surveillance, including identifying, tracking, and monitoring regulatory developments to analyze the business impact

Participate in ad-hoc requests, special projects and regulatory exams

Perform compliance testing on surveillance

Enhance the Market Surveillance Program and develop training based on gaps identified through the compliance monitoring and testing.

Monitor employee personal trading and electronic communications

What you'll need to have:

Ideally 4+ years of relevant experience with a Bachelor's Degree

Knowledge of U.S. securities rules and regulations

A working knowledge of relevant industry standards in the US, UK, and EU financial regulation framework including applicable SEC, NFA, FCA rules and reporting requirements

Strong verbal and written communication skills with the ability to work collaboratively with people at all levels of the organization

Excellent research and analytical skills

Must be a self-starter, flexible, innovative and adaptive

Strong sense of ethics, accountability, and judgment

Excellent project management and organizational skills and capability to handle multiple projects at one time

Maintain or develop written supervisory procedures

What would be nice to have:

Previous experience in Market Surveillance Compliance

Financial Services, Capital Markets industry exposure, Commodities Experience, or Fintech Exposure

Blockchain and/or cryptocurrency knowledge

What you'll get:

Competitive and appealing compensation and time off paid package

Generous medical benefits coverage

401 K