Surveillance Analyst (Fintech)

TL;DR

Surveillance Analyst (Fintech): Monitoring and regulating market activity to detect violations of exchange and federal securities rules with an accent on trade analysis and regulatory compliance. Focus on investigating suspicious trading patterns, utilizing SQL for data extraction, and coordinating with member firms to ensure market integrity.

Location: Remote (US). Presence preferred in CA, CO, CT, DE, FL, GA, IL, KS, ME, MD, MI, NV, NJ, NY, NC, PA, SC, or UT; candidates outside these states will be evaluated.

Salary: $80,000 - $115,000

Company

hirify.global is a members exchange focused on maintaining market integrity through rigorous surveillance and regulation of securities markets.

What you will do

• Analyze and review unusual or suspicious trading activity using specialized surveillance applications.
• Conduct in-depth research to validate surveillance output via market data tools and specialized software.
• Communicate with member firms to gather information and evaluate responses to investigations.
• Investigate potential issues arising from operational and business units within hirify.global.
• Assist in the design, testing, and maintenance of surveillance parameters and procedures.
• Prepare investigative memoranda and respond to regulatory complaints.

Requirements

• 3+ years of surveillance experience at a broker-dealer or regulator.
• Experience in surveillance of securities markets, specifically equities and/or equity derivatives.
• Deep knowledge of U.S. markets and market structure.
• Bachelor’s degree in a related field or equivalent analytical experience.
• Proficiency in SQL for database searches and Excel for data analysis.
• Must be based in the United States.

Culture & Benefits

• Remote work flexibility (Work From Home).
• Comprehensive health care plan including medical, dental, and vision.
• 401k retirement plan.
• Unlimited paid time off and generous paid family leave.
• Investment in training and development.
• Wellness resources and life insurance.