Principal Compliance Associate – Market Surveillance

Overview

In this role you lead complex market abuse investigations and shape regulator-ready findings. You will calibrate surveillance rules as products and market structures evolve, and help build a scalable surveillance capability. You’ll translate risk assessments into coverage and use AI with human oversight to speed investigations. You collaborate with cross-functional teams to address conflicts of interest and related compliance areas as the business scales.

Responsibilities

• Own complex investigations end to end and present regulator-ready findings to stakeholders
• Lead or contribute to threshold and model reviews, recalibrating surveillance rules and alert thresholds
• Support the design, build-out and integration of surveillance platform capabilities, onboarding new products, venues and data sources
• Contribute to market abuse risk assessments, identify and score risk across products, jurisdictions and entities
• Use AI and automation to speed evidence gathering, case reconstruction and model development with human oversight
• Support conflicts of interest, information barriers, and personal account dealing matters across Markets Compliance

Key requirements

• Experience investigating market abuse or trading conduct within regulated markets
• Proven track record running investigations end to end with regulator-facing findings
• Knowledge of market abuse typologies (spoofing, wash trading, insider trading, front running, ramping)
• Experience with threshold/model calibration, surveillance platform integration, risk assessments, and audit remediation
• Comfort with generative AI and automation tools while maintaining regulatory oversight
• Familiarity with surveillance platforms (Scila, Nasdaq SMARTS, Eventus, NICE Actimize) and SQL or similar query tools
• Clear, evidence-first written communication for auditors and regulators
• Crypto-asset market exposure welcomed; strong candidates from traditional markets encouraged to apply

• Clear, evidence-first written communication
• Stakeholder presentation and collaboration
• Analytical thinking and attention to detail
• Threshold and model calibration
• Surveillance platform integration
• Data onboarding and data source integration

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