Market Surveillance Investigator — Multi‑Asset

Madison-Davis, LLC; Chicago (IL); On-site; USD 110,000 - 160,000; Full time

Job summary

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

Qualifications

• 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.

Responsibilities

• 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.

Skills

Surveillance analysis

Investigation skills

Financial markets knowledge

Excellent written communication

Multi-tasking

MS Excel

AI tool familiarity

Education

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

Tools

Excel

Surveillance software

Order management systems

Job description

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