Compliance - Market Surveillance Analyst
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Key skills for this role
About the Role
Crypto.com is seeking a Market Surveillance Analyst to join its Market Regulation team for a US derivatives exchange. You will detect and investigate trading activity for potential rule violations, perform real-time market monitoring, and ensure compliance with CFTC regulations.
Key Skills for This Role
Responsibilities
- Perform real time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse
- Monitor real time market data to ensure participant compliance with margin requirements and position limits
- Utilize surveillance tools and dashboards to flag anomalies and escalate concerns
- Conduct post trade reviews and forensic analysis of flagged transactions
- Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports
- Prepare detailed reports on findings and recommend appropriate actions
- Ensure adherence to applicable regulations (e.g., SEC, CFTC, FINRA) and internal policies
- Assist in preparing responses to regulatory inquiries and audits
- Contribute to the development and refinement of surveillance protocols and compliance frameworks
- Support enforcement of KYC/AML procedures and transaction monitoring
- Work closely with Legal, Risk, and Technology teams to improve surveillance systems and compliance workflows
- Liaise with external regulators and industry bodies as needed
Requirements
- Bachelor's Degree in Economics, Finance, Math or Juris Doctorate
- 4+ years in Compliance in financial services, or equivalent experience
- Experience in Derivatives or Prediction Markets
- Experience in Tradfi or Crypto space
- Familiarity with futures markets, commodities and trading
- Familiarity with Trade Surveillance Platforms is a must
- Ability to communicate with market participants, federal regulators and executive management
- Knowledge of futures exchange operations, trading, risk management or regulations
- Flexibility to work weekends and evenings as needed
Full Job Posting
Role Overview
- Our Local Programs and Regulatory Compliance team is responsible for ensuring compliance with local laws and regulations in the countries where we operate.
- Crypto.com | Derivatives North America presents a unique opportunity for a full time Analyst to join its Market Regulation team.
- In this position you will be responsible for detecting and investigating trading activity in derivatives markets to detect potential violations of Exchange rules and CFTC Regulations.
Real Time Market Monitoring
- Perform real time monitoring of all exchange activity, security feeds, and product safety data to identify potential market abuse (wash trading, spoofing, etc.)
- Monitor real time market data to ensure participant compliance with margin requirements and position limits
- Utilize surveillance tools and dashboards to flag anomalies and escalate concerns
Trade Analysis & Investigation
- Conduct post trade reviews and forensic analysis of flagged transactions
- Conduct investigations of potential rule violations by obtaining testimony, compiling records and drafting investigative reports
- Prepare detailed reports on findings and recommend appropriate actions
Regulatory Compliance
- Ensure adherence to applicable regulations (e.g., SEC, CFTC, FINRA, etc.) and internal policies
- Assist in preparing responses to regulatory inquiries and audits
Policy Development & Enforcement
- Contribute to the development and refinement of surveillance protocols and compliance frameworks
- Support enforcement of KYC/AML procedures and transaction monitoring
Cross Functional Collaboration
- Work closely with Legal, Risk, and Technology teams to improve surveillance systems and compliance workflows
- Liaise with external regulators and industry bodies as needed
Required Experience
- Bachelor's Degree in Economics, Finance, Math or Juris Doctorate
- 4+ years in Compliance in financial services, or equivalent experience
- Experience in Derivatives or Prediction Markets
- Experience in Tradfi or Crypto space
- Familiarity with futures markets, commodities and trading
- Familiarity with Trade Surveillance Platforms is a must
- Comfortable working in a fast paced, high stress environment
- Ability to communicate with market participants, federal regulators and executive management
- Knowledge of futures exchange operations, trading, risk management or regulations
- This role requires flexibility to work weekends and evenings as needed
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