Trade Surveillance Expert (Market Abuse & Conduct Monitoring)
Posted about 18 hours ago
This role is for one of our clients
Compensation: $100 per hour
We are seeking experienced Trade Surveillance professionals to support the development and evaluation of advanced AI-driven solutions used for capital markets compliance, market conduct monitoring, and market abuse detection.
In this role, you will apply your expertise in trade surveillance, regulatory compliance, and financial market oversight to assess complex trading scenarios, evaluate surveillance outcomes, and contribute to the creation of high-quality datasets that improve next-generation AI systems used in regulatory technology (RegTech) and compliance monitoring.
This opportunity is ideal for professionals who have hands-on experience investigating market abuse alerts, working with surveillance platforms, and interpreting regulatory requirements across global financial markets.
Requirements
Key Responsibilities
Trade Surveillance & Market Conduct Analysis
- 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.
- Assess trading patterns across multiple asset classes and identify suspicious behavior requiring regulatory review.
Surveillance Framework Development
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
- Other market conduct and abuse scenarios
Investigation & Regulatory Assessment
- Review 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.
AI & Compliance Model Improvement
- 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
- SteelEye
- eFlow
- OneMarket Surveillance
- TradingHub
- Similar surveillance technologies
- Strong understanding of market abuse regulations and surveillance frameworks, including:
- SEC and FINRA regulations
- Market Abuse Regulation (MAR)
- MiFID II
- FCA 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.
- Professional fluency in English.
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
Why Consider This Opportunity?
- Contribute to the development of advanced AI solutions for market surveillance and compliance.
- Work on innovative projects within the Regulatory Technology (RegTech) space.
- Collaborate with experts across trading, compliance, surveillance, risk, and financial crime disciplines.
- Help shape the future of AI-assisted monitoring and market conduct oversight across global financial markets.
Engagement Details
- Independent contractor engagement.
- Fully 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.
This opportunity is well suited for experienced surveillance professionals seeking to apply their expertise to emerging AI technologies that are transforming compliance and market oversight functions across the financial services industry.
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