Market Surveillance Associate

Key Responsibilities:

• Perform daily market monitoring tasks, ensuring compliance with SEC regulations and internal policies while escalating potential issues.

• Assist senior team members in gathering and analyzing data to identify trends and market irregularities.

• Support in the preparation and submission of routine reports on surveillance activities, adhering to established standards and timelines.

• Ensure accurate documentation of findings and escalate concerns to senior staff when appropriate.

• Monitor transactions and trading patterns to detect suspicious activity and report any anomalies.

• Assist in maintaining and updating surveillance systems to ensure they remain efficient and effective.

• Participate in training and development programs to enhance knowledge of market regulations and surveillance tools.

Required Qualifications:

• Bachelor’s degree in Finance, Economics, or a related field.

• Basic knowledge of market regulations, trading behavior, and digital assets.

• Strong analytical skills with attention to detail, including the ability to work with large datasets.

• Proficiency in market monitoring tools and software, including SQL.

• Effective communication and teamwork skills to collaborate across functions.

• Ability to follow instructions carefully and manage multiple tasks with tight deadlines.

• Willingness to learn and adapt to evolving regulatory environments.

To ensure professional integrity and compliance with regulatory requirements, all selected candidates are responsible for providing documentation for a comprehensive background check. Depending on the role, this may include:

• Criminal Record Disclosure

• Credit Bureau Report

• Professional Due Diligence & Employment Verification

These checks are conducted after the interview stage and prior to your start date to verify qualifications and suitability for employment. The company shall review all findings fairly and in accordance with applicable laws. Should any information in your report lead to a potential adverse employment decision, the company shall follow the necessary processes before a final determination is made.