VP Compliance - Trade Surveillance

⚡ VP Trading Surveillance (Compliance)
💼 Trading Platform
💲 $140,000 - $180,000+ 30% Bonus
🌎 New York / Jersey City
Seeking a senior
Trading Surveillance leader
to oversee market abuse monitoring across equities, options, and digital assets. This role sits at the center of Compliance, Legal, and Trading, ensuring adherence to FINRA, SEC, and broader U.S. regulatory standards.
This is a hands-on leadership position for someone with deep investigative expertise, strong regulatory exposure, and extensive experience using NASDAQ SMARTS.
What You’ll Be Responsible For
• Lead daily surveillance reviews across equities, options, and crypto markets
• Analyze and disposition alerts involving spoofing, layering, wash trades, marking the close, front-running, and cross-market activity
• Conduct complex trading investigations including order lifecycle analysis, account linkages, and behavioral pattern reviews
• Prepare defensible investigative reports and regulatory responses
• Manage FINRA inquiries, Blue Sheet (EBS) requests, and other regulatory examinations
• Partner with Compliance, Legal, Trading, Operations, and Technology to remediate issues
• Enhance surveillance rules, thresholds, and monitoring frameworks as products and market structures evolve
• Stay ahead of regulatory developments impacting U.S. securities and digital asset markets
What We’re Looking For
Required Experience
• 7+ years of hands-on trade surveillance experience at a FINRA member firm, exchange, clearing firm, or regulator
• Strong equities and options surveillance background; crypto surveillance experience required
• Deep working knowledge of NASDAQ SMARTS
• Direct experience managing FINRA investigations and regulatory data requests
• Strong understanding of U.S. market structure and order types
• Series 7 & 24 (active or attainable)
• Excellent investigative writing and regulatory communication skills
Preferred
• Futures or event contract surveillance exposure
• Experience supporting introducing broker-dealers or clearing environments
• Prior involvement in regulatory exams or enforcement matters
Compensation & Benefits
• Base Salary: $120,000 – $160,000
• Discretionary performance bonus (20%-30%)
• Comprehensive medical coverage (including dependents)
• 401(k) employer contribution
• Generous PTO + paid holidays
• Professional development opportunities (Leading and growing large teams)