Senior Surveillance Specialist

📋 Description

• Design, build, and test cross-asset surveillance across equities, futures, crypto.
• Tune thresholds; document methodology and back-testing per FINRA/NFA rules.
• Review alerts; investigate possible FINRA/SEC/NFA/CFTC violations.
• Investigate suspicious activity; collaborate with Compliance, Legal, and Operations.
• Monitor crypto transactions and blockchain activity; KYT risk detection.
• Draft and file SARs; maintain SAR docs and regulatory reporting.

🎯 Requirements

• 2-5+ years in trade surveillance/AML at broker-dealer, FCM, or regulator.
• Active licenses: Series 7/63 (or 66) and Series 3; Series 24 preferred.
• Regulatory knowledge: FINRA/NFA/CFTC rules; BSA/AML, Patriot Act.
• Experience with Actimize/SMARTS/Eventus and blockchain analytics; AWS S3.
• Strong SQL and data analysis; ability to query large datasets.
• Bachelor's degree; CAMS/CFE a plus.

🎁 Benefits

• Performance bonuses
• Stock purchase options
• Medical/Vision/Dental benefits
• 401k plan
• 20 paid vacation days
• Commuter benefits