Trade Surveillance Analyst 1 — Financial Crimes Department

Accountabilities

• Maintain market integrity by detecting risks such as manipulation, fraud, and other prohibited activities.
• Support the development and execution of market surveillance programs by monitoring trading activity, investigating potential risks, and ensuring compliance with regulatory expectations.
• Conduct detailed reviews, document findings, and collaborate with compliance, legal, risk, and business teams to strengthen financial crime controls.
• Monitor trading activity using surveillance platforms and internal systems to identify potential market abuse, suspicious trading patterns, unusual order behavior, and conduct risks.
• Review and investigate alerts related to spoofing, layering, wash trading, front-running, insider trading, manipulative activity, information barriers, and other suspicious behaviors.
• Conduct real-time and post-trade analysis to assess risks, determine escalation requirements, and support investigative decisions.
• Develop, review, and test trade surveillance scenarios, alert logic, procedures, and control documentation.
• Analyze trading activity in the context of market events, customer behavior, account activity, and transaction patterns to identify anomalies.
• Clearly document investigative steps, evidence reviewed, conclusions, and recommended actions in an audit-ready format.
• Escalate high-risk matters to appropriate compliance, AML, legal, risk, and operational stakeholders.
• Support coordination with financial crime teams on matters involving potential fraud, suspicious activity reporting, or regulatory concerns.
• Aid in regulatory inquiries, audits, internal reviews, and examinations related to market surveillance and compliance controls.
• Identify emerging risks, control gaps, and opportunities to improve surveillance processes, reporting, and investigation workflows.
• Prepare summaries, metrics, and management reporting related to alerts, investigations, and surveillance trends.

Requirements

• Experience in trade surveillance, financial crime compliance, or related investigative functions, along with strong analytical judgment and knowledge of regulated financial environments.
• Experience working within a broker-dealer, fintech platform, exchange, trading firm, clearing organization, market maker, crypto trading environment, or another regulated financial institution.
• Strong understanding of trading activity, market structure, order behavior, customer activity, and indicators of market manipulation or suspicious activity.
• Knowledge of market abuse typologies, including spoofing, layering, wash trading, front-running, insider trading, and unusual price or volume activity.
• Ability to analyze trading data, identify behavioral patterns, investigate exceptions, and reach well-supported conclusions.
• Experience documenting investigations clearly and maintaining audit-ready records.
• Strong analytical skills, attention to detail, sound judgment, and the ability to prioritize multiple investigations.
• High integrity and discretion when handling confidential financial and customer information.
• Excellent written and verbal communication skills, with the ability to explain complex trading activity to various stakeholders.
• Ability to work effectively in a fast-paced, technology-driven environment.
• FINRA Series 7 license required.
• Experience with trade surveillance platforms, particularly Surveyor by Trillium, is preferred.
• FINRA Series 24 certification is considered an asset.

Benefits

• Competitive salary package and stock options.
• Comprehensive health benefits.
• Fully remote work environment with flexibility across North America.
• One-time home office setup allowance of USD $500.
• Monthly stipend of USD $150 through a company expense card.
• Opportunity to contribute to innovative financial infrastructure and market integrity solutions.
• Collaborative environment with globally distributed teams.