Sr. Compliance Associate Lead - Market Surveillance

• Take the more complex investigations end to end, including those that begin as a referral rather than an alert, and present conclusions to senior compliance stakeholders and the business.

• Act as a senior reviewer for colleagues' work, and a point of escalation for judgement calls on how an alert or a case should be treated.

• Contribute to threshold and model reviews, recalibrating detection as trading behaviour, products and market structure change.

• Support surveillance platform and tooling work, including setting out what detection needs to achieve and validating that it does.

• Draft suspicious transaction and order reports and suspicious activity reports.

• Contribute to market abuse risk assessment work, and help translate the risks identified into surveillance coverage.

• At least 4 years investigating market abuse or trading conduct inside a firm subject to market conduct regulation.

• A track record running investigations end to end, including writing findings up to a standard a regulator can rely on and presenting conclusions to stakeholders.

• Solid knowledge of the core market abuse typologies and how they present differently across asset classes.

• Hands-on experience with a surveillance platform such as Scila, Nasdaq SMARTS, Eventus or NICE Actimize, and comfort with SQL or a similar query tool.

• Exposure to threshold or model calibration, platform integration, or market abuse risk assessment work.

• Clear, evidence-first written communication, and the judgement to know when something needs escalating.

• Based in the UK, Ireland, Cyprus, Canada, with fluency in English.

• Exposure to crypto-asset markets is welcomed but not required.

• Experience mentoring or acting as a senior reviewer for less experienced analysts.

• Experience of a surveillance platform implementation or build-out.

• Electronic communications surveillance experience.

Unless a specific application deadline is stated in the job posting, applications are accepted on an ongoing basis. Please note, applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution. We consider qualified applicants with criminal histories for employment on our team, assessing candidates in a manner consistent with the requirements of the San Francisco Fair Chance Ordinance.