Trade Surveillance Expert (Market Abuse & Conduct Monitoring)

Key Responsibilities

• Review and analyze simulated and real-world trading activity to identify indicators of potential market abuse.
• Evaluate AI-generated surveillance alerts and determine appropriate outcomes, including escalation, closure, or further investigation.
• Audit trading patterns across multiple asset classes and identify suspicious behavior requiring regulatory review.
• Develop and refine surveillance evaluation methodologies covering: Insider Trading, Market Manipulation, Spoofing and Layering, Wash Trading, Front Running, Marking the Close, Cross-Market Manipulation, Information Leakage, and other market conduct and abuse scenarios.
• Investigate surveillance workflows and alert investigation processes.
• Evaluate AI-generated case narratives and investigative findings.
• Validate whether conclusions align with regulatory expectations and industry best practices.
• Provide expert feedback on surveillance methodologies, escalation frameworks, and case management approaches.
• Contribute subject matter expertise to enhance AI models used for surveillance, compliance monitoring, and financial crime detection.
• Support the development of regulatory reasoning frameworks and surveillance training datasets.
• Help improve the accuracy and effectiveness of AI-driven monitoring systems.

Required Qualifications

• 5+ years of experience in Trade Surveillance, Market Surveillance, Compliance Surveillance, Market Abuse Monitoring, Regulatory Oversight, or related functions.
• Hands-on experience using one or more surveillance platforms such as: Nasdaq SMARTS, NICE Actimize, Eventus, Validus, ACA Sigma, Steel, Eyee, Flow, One, Market Surveillance, Trading Hub, similar surveillance technologies.
• Strong understanding of market abuse regulations and surveillance frameworks, including SEC and FINRA regulations, Market Abuse Regulation (MAR), MiFID I, IFC Market Conduct Requirements, Exchange Surveillance Standards.
• Experience investigating surveillance alerts and documenting findings and case outcomes.
• Familiarity with one or more asset classes, including: Equities, Options, Futures, Fixed Income, Foreign Exchange (FX), Commodities, Digital Assets/Cryptocurrencies.
• Strong analytical and written communication skills with the ability to articulate investigative reasoning and regulatory conclusions clearly.

Preferred Qualifications

• Experience working within investment banks, broker-dealers, exchanges, regulatory agencies, hedge funds, proprietary trading firms, or surveillance technology providers.
• Exposure to surveillance model calibration, threshold tuning, alert optimization, or surveillance program design.
• Experience responding to regulatory examinations, inquiries, or enforcement reviews.
• Understanding of algorithmic trading, electronic market structure, and high-frequency trading environments.
• Professional certifications such as: CAMS, CFA, FRM, CISI, Other compliance or financial risk certifications.

Compensation

Compensation: $100 per hour

Engagement Details

• Independent contractor engagement.
• Full-time remote and flexible work arrangement.
• Project-based assignments with potential for future opportunities based on expertise and performance.
• No access to confidential or proprietary information from any current or previous employer is required.
• Weekly payments through approved payment platforms based on completed work.