Market Surveillance Specialist (Blockchain)

Company:
This client is one of the largest blockchain development companies in the world building out household name applications across finance, DeFi, NFT’s and general Blockchain SaaS solutions. Most of their employees operate fully remotely and we are looking for staff across a number of disciplines with this top tier client.


Responsibilities:

• Conduct surveillance of trading activity to prevent and detect any non-compliant or abusive market activity or operational practices, review electronically generated alerts, and address market participant inquires
• Oversee electronic regulatory reporting and filings
• Assist with the development and implementation of effective surveillance and monitoring controls applicable to the various business lines
• Report any violations accurately and timely following through to resolution
• Assist in preparing monthly and quarterly compliance trading related reports for internal reporting purposes
• Utilise knowledge of global regulation and firm policies related to trading and trade surveillance, including identifying, tracking, and monitoring regulatory developments to analyse the business impact
• Participate in ad-hoc requests, special projects and regulatory exams
• Perform compliance testing on surveillance
• Enhance the Market Surveillance Program and develop training based on gaps identified through the compliance monitoring and testing
• Monitor employee personal trading and electronic communications

Requirements:

• Ideally 4+ years of relevant experience with a Bachelor’s Degree
• Knowledge of U.S. securities rules and regulations
• A working knowledge of relevant industry standards in the US, UK, and EU financial regulation framework including applicable SEC, NFA, FCA rules and reporting requirements
• Strong verbal and written communication skills with the ability to work collaboratively with people at all levels of the organisation
• Excellent research and analytical skills
• Must be a self-starter, flexible, innovative and adaptive
• Strong sense of ethics, accountability, and judgment
• Excellent project management and organisational skills and capability to handle multiple projects at one time
• Maintain or develop written supervisory procedures

Potential skills:

• Previous experience in Market Surveillance Compliance
• Financial Services, Capital Markets industry exposure, Commodities Experience, or Fintech Exposure
• Blockchain and/or cryptocurrency knowledge

Remuneration and benefits:

• Competitive and appealing compensation and time off paid package
• Generous medical benefits coverage
• 401K

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