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Jobs · Finance · New Jersey

Vice President, Trading Surveillance Compliance

moomoo · Jersey City, NJ · 1 wk ago
On-siteFinance$120k–$160k/yrFull-time

About the role

The Vice President, Trading Surveillance will oversee market abuse and regulatory violations across multiple asset classes. This role supports the firm's compliance with FINRA, SEC, and other regulatory requirements, working closely with Compliance, Legal, and Operations.

Requirements

  • 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, regulator, or similar financial institution

  • Extensive surveillance experience covering: Equities, Options, Digital assets / crypto

  • Strong knowledge of market abuse detection and surveillance methodologies across multiple asset classes

  • Experience using NASDAQ SMARTS and other surveillance technologies such as OneTick, Eventus, or OMS-related platforms

  • Direct experience managing: FINRA investigations, Electronic Blue Sheet (EBS) requests, NFA or other regulatory inquiries

  • Strong understanding of U.S. securities and futures market structure, including: CME/ICE exchange environments, Globex trading behavior, position limits, account aggregation, etc.

  • Strong analytical, investigative, written, and verbal communication skills

  • Ability to operate independently in a fast-paced and highly regulated environment

Qualifications

  • Required Qualifications:

  • Series 7, Series 3, and Series 24 licenses (active or eligible for transfer)

  • Futures and NFA-related surveillance experience

  • Experience at a clearing firm or organizations supporting introducing broker-dealers

  • Prior involvement in regulatory examinations, enforcement matters, or remediation initiatives

  • Familiarity with: CFTC and NFA regulatory frameworks, large trader reporting, futures recordkeeping requirements, audit trail and supervisory expectations

Benefits

  • Comprehensive Paid Medical Benefits

  • 401k Employer Contribution

  • Generous Paid Time Off & Paid Holidays

  • Opportunities for Professional Growth & Development

  • Performance Based Bonuses

Pay

The expected salary range for this role is $120,000 - $160,000. This role is also eligible to participate in our discretionary bonus plan.

Schedule

This role must be based on the office locations specified in the job description, in line with our in-office work philosophy. Remote work is not available for this position.

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