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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in trade and market surveillance, with a strong focus on investigating alerts and documenting findings. Proficient in managing case workflows and collaborating with regulatory bodies while ensuring compliance with trading policies.
Highest-signal resume keywords
Trade Surveillance ExperienceSurveillance Alert InvestigationDigital Asset InvestigationsOn-Chain AnalysisCFTC/NFA Regulation Exposure
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
SQLPythonSurveillance Alert InvestigationCase ManagementDocumentationData ToolingForensic TracingMarket RegulationDisruptive Trading Pattern AnalysisDigital Asset Knowledge
Soft Skills
Attention to DetailClear CommunicationAdaptabilityDisciplineProblem-Solving
Tools & Technologies
Nasdaq SMARTSEventus ValidusTT ScoreNICE ActimizeSolidusB-nextChainalysisTRM LabsElliptic
Industry Keywords
Market SurveillanceTrading ComplianceFinancial InstrumentsFuturesDerivatives24/7 MarketsCrypto DerivativesInformation Barrier PoliciesConflict-of-Interest PoliciesDCM Core Principles
Tech Stack
Tools & technologiesPythonSQL
About the role
Key responsibilities & impact- Monitor real-time and post-trade activity for potential manipulation, fraud, and disruptive trading practices
- Triage and investigate surveillance-platform alerts by reconstructing orders and trades, determining whether alerts are errors, false positives, or potential violations, and documenting the reasoning
- Run participant inquiry workflows, including broker explanation requests
- Work directly with FCMs and clearing members to gather information and resolve cases
- Escalate potential rule violations and prepare case files for review, enforcement, and regulatory inquiries under the direction of trade surveillance or market regulation leadership
- Help design case-management flows, alert tuning, and automation
- Contribute to written surveillance procedures and DCM Core Principle readiness ahead of launch
- Own high-volume first-line alert review and assume broader investigative ownership as the function grows
- Participate in coverage for a 24/7 market, including scheduled weekend or off-hours rotations
Requirements
What you’ll need- 2–5+ years in trade or market surveillance at an exchange or regulator strongly preferred; trading compliance experience at an FCM, broker-dealer, or trading firm strongly considered
- Hands-on experience investigating surveillance alerts, ideally in Nasdaq SMARTS or a comparable platform, including Eventus Validus, TT Score, NICE Actimize, Solidus, or b-next
- Working knowledge of manipulative and disruptive trading patterns and how to evidence them
- Experience with digital assets and digital asset investigations, traditional financial instruments, and futures or other derivatives
- Experience with on-chain analysis and forensic tracing of wallets and fund flows using tools such as Chainalysis, TRM Labs, or Elliptic
- Clear, professional written and verbal communication
- Strong attention to detail and disciplined documentation habits
- Comfort with ambiguity, shifting priorities, and building processes where none exist
- Ability to work from approved security devices and environments
- Ability to comply with information barrier, conflict-of-interest, and personal trading policies, including restrictions on trading in surveilled markets
- SQL, Python, or other data tooling experience is nice to have
- Experience with 24/7 markets or crypto derivatives is nice to have
- Exposure to CFTC/NFA regulation, DCM Core Principles, or rule-enforcement reviews is nice to have
Benefits
Comp & perks- Remote-first work environment
- 24/7 market coverage with scheduled weekend or off-hours rotations
- Clear path to broader investigative ownership and potential team leadership as the function grows