Trade Surveillance Compliance Specialist
Prestige Development Group (PDG) specializes in providing innovative human capital management solutions tailored to meet the needs of both private and public sector organizations. We are a certified SBA HUBZone and Economically Disadvantaged Woman-Owned Small Business dedicated to fostering diversity, inclusion, and operational excellence.
About the role
We are seeking an experienced Trade Surveillance Compliance Specialist to join a growing Compliance function. In this role, you will take primary responsibility for assisting with the design, calibration, and ongoing oversight of the firm's global trade surveillance program. Reporting directly to the EMEA Deputy CCO, you will work closely with compliance technology, investment staff, and the global Compliance team to ensure that the firm's surveillance infrastructure remains robust and proportionate to the nature, scale, and complexity of the business.
Responsibilities
- Work with the EMEA Deputy CCO in the design, implementation, and ongoing calibration of the firm's trade surveillance systems, including Nasdaq Trade Surveillance (NTS), ensuring scenarios and thresholds are appropriately configured to reflect the firm's strategies, regulatory obligations, and risks.
- Conduct regular reviews and testing of surveillance system parameters to minimize false positives and enhance detection capabilities.
- Develop a deep understanding of the trading patterns of various Business Units, working closely with different departments to ensure compliance.
- Partner with the technology and data teams to resolve any technical issues or challenges that hinder the identification of potential compliance issues.
- Contribute to documentation of surveillance methodology, including the rationale for scenario selection and calibration decisions.
- Assist with reviewing and updating the firm's Market Abuse Risk Assessment (MARA) on a regular basis, and in line with changes in the firm's trading strategies, controls, and risks.
Qualifications
- 4–7 years of experience in trade surveillance, market abuse compliance, or a closely related role within an investment firm, broker-dealer, or regulatory body.
- Demonstrable hands-on experience with institutional trade surveillance platforms; direct experience with Nasdaq Trade Surveillance (NTS) is strongly preferred.
- Strong understanding of market abuse regulations, including the EU and UK Market Abuse Regulation (MAR), and the FCA's expectations relating to market abuse controls.
- Proficient analytical, written, and verbal communication skills.
- Keen attention to detail and a robust work ethic.
- Ability to work independently and as part of a team.
Pay
Salary Range: $150,000 – $190,000/Year