Compliance Officer

Madison-Davis; Chicago (IL); In loco; USD 110.000 - 160.000; Tempo pieno

Descrizione del lavoro

Madison-Davis, LLC is seeking a Market Surveillance Compliance Officer to support U.S. Broker-dealer and futures businesses.

The role focuses on identifying potentially problematic activity via trade, electronic communications, and voice surveillance across equities, fixed income, commodities, futures, options, and other derivatives. The candidate will review alerts, analyze trading activity, document dispositions, and escalate as needed while partnering with Compliance and front‑office to

Competenze

• Previous trade or communications surveillance experience within financial markets.
• Strong understanding of financial products, trading activity, market structure, and mechanics of financial markets.
• Experience in regulated broker‑dealer, futures, trading, banking, or similar financial services environments.

Mansioni

• Review and investigate alerts generated through trade, electronic communications, and voice surveillance systems.
• Analyze trading activity and communications to determine legitimate concerns or closures.
• Document alert dispositions with analysis and rationale.
• Request additional information from traders, clients, or stakeholders as needed.
• Escalate suspicious activity to Compliance leadership with supporting evidence.
• Follow through on escalated matters and surveillance issues to resolution.
• Prepare surveillance reporting and metrics by business line, trading desk, alert type, trader, client, and review period.
• Collaborate with Compliance and front‑office for surveillance guidance and context.
• Support ongoing development and enhancement of the surveillance framework.

Conoscenze

Surveillance analysis

Investigation skills

Financial markets knowledge

Excellent written communication

Multi-tasking

MS Excel

AI tool familiarity

Formazione

Bachelor's degree in Finance, Economics, Business, or a related discipline

Strumenti

Excel

Surveillance software

Order management systems

Descrizione del lavoro

The Opportunity

A global financial‑services firm is seeking a Market Surveillance Compliance Officer to support its U.S. Broker‑dealer and futures businesses. The position will focus on identifying potentially problematic activity through trade, electronic communications, and voice surveillance across a broad range of financial products and trading venues. This is a hands‑on surveillance role offering exposure to equities, fixed income, commodities, futures, options, swaps, and other derivatives, as well as opportunities to contribute to broader compliance initiatives.

What You’ll Do

• Review and investigate alerts generated through trade, electronic communications, and voice surveillance systems.
• Analyze trading activity and communications to determine whether alerts represent legitimate concerns or can be reasonably closed.
• Document alert dispositions clearly, including the analysis and rationale supporting each conclusion.
• Request additional information from traders, clients, or other stakeholders when necessary to complete an investigation.
• Escalate potentially suspicious or problematic activity to Compliance leadership with appropriate supporting evidence.
• Follow through on escalated matters and outstanding surveillance issues through resolution.
• Prepare surveillance reporting and metrics covering areas such as business line, trading desk, alert type, trader, client, and review period.
• Partner with Compliance and front‑office teams to provide surveillance‑related guidance and context around trading activity.
• Support the ongoing development and enhancement of the firm’s surveillance framework.

Surveillance Testing & Optimization

• Test trade and order data to confirm that information flowing from order and execution management systems into surveillance platforms is accurate and complete.
• Participate in the calibration and effectiveness testing of existing and newly implemented surveillance scenarios.
• Conduct and document user acceptance testing (UAT) for new or modified surveillance rules and scenarios.
• Identify opportunities to improve alert quality, increase detection of meaningful activity, and reduce unnecessary false‑positive volume without weakening surveillance coverage.
• Assist with evaluating potential surveillance gaps and improving the overall effectiveness of monitoring controls.

Regulatory & Risk Responsibilities

• Support compliance with applicable U.S. Securities, derivatives, and futures regulatory requirements, including those administered by the SEC, FINRA, CFTC, NFA, and relevant exchanges.
• Stay current on regulatory developments, enforcement activity, market events, and emerging surveillance risks.
• Follow established compliance, operational‑risk, and internal‑control requirements.
• Promptly identify and escalate potential policy violations, control failures, or other risk events.
• Contribute to broader compliance and risk‑management initiatives as needed.

What We’re Looking For

• Previous trade or communications surveillance experience within financial markets.
• Strong understanding of financial products, trading activity, market structure, and the mechanics of financial markets.
• Experience operating within a regulated broker‑dealer, futures, trading, banking, or comparable financial‑services environment.
• Ability to analyze and interpret trading and surveillance data and reach well‑supported conclusions.
• Strong investigative instincts and the ability to distinguish meaningful activity from false positives.
• Excellent written communication skills, particularly when documenting investigations and escalation decisions.
• Ability to manage multiple alert queues, investigations, and projects in a fast‑paced environment.
• Strong interpersonal skills and confidence communicating with traders, Compliance professionals, management, and other stakeholders.
• Proficiency with Excel and other standard Microsoft Office applications.
• Comfort using emerging technology and AI‑enabled tools while independently validating outputs and maintaining appropriate compliance and control standards.

PREFERRED EXPERIENCE

• Bachelor's degree in Finance, Economics, Business, or a related discipline.
• Experience covering multiple asset classes, particularly equities, fixed income, commodities, futures, options, and swaps.
• Familiarity with both broker‑dealer and FCM regulatory environments.
• Experience with surveillance scenario calibration, data validation, UAT, or surveillance‑system enhancements.

This role is well suited to a surveillance professional who combines markets knowledge, investigative judgment, and strong analytical skills and wants exposure to a diverse trading environment and multiple asset classes.