Trade Surveillance Associate

Job Summary

As a full-time Trade Surveillance Associate, the candidate will monitor trade activity, investigate potential violations, and ensure compliance with regulatory obligations in a remote-first environment while collaborating closely with the Market Regulation Department and Chief Regulatory Officer.

Key responsibilities

• Investigate potential trade practice violations, including spoofing and wash trading, to ensure compliance with CDE's rulebook and CFTC regulations
• Analyze alerts from the trade surveillance system and escalate matters requiring heightened review in partnership with department leadership
• Produce investigative reports and deliver updates to stakeholders, maintaining compliance with recordkeeping requirements

Required qualifications

• 3+ years of experience in market and trade surveillance for regulated entities such as DCMs or exchanges
• Strong understanding of market fundamentals and derivatives trading practices, with the ability to apply CFTC regulations
• Proven ability to produce clear investigative memoranda and reports for stakeholders, including regulators
• Experience managing multiple investigations and regulatory deadlines while ensuring accuracy and thoroughness
• Ability to utilize generative AI responsibly while maintaining human oversight to improve workflow efficiency