Surveillance Compliance Officer

Surveillance Compliance Officer

Chicago - Onsite

About The Role:

We are seeking a Surveillance Compliance Officer to oversee transaction monitoring, conduct audits, support regulatory training, and strengthen compliance policies and procedures.

What You’ll Do:

• Conduct Trade, E-Communications, and Voice Surveillance for U.S. BD and FCM businesses.
• Review, investigate, document, and resolve surveillance alerts promptly.
• Identify, escalate, and report potential or confirmed true positives.
• Obtain clarification from clients/traders and follow up on open issues.
• Prepare surveillance metrics and reporting for U.S. Surveillance leadership.
• Test trade data and OMS/EMS systems for data quality and completeness.
• Support scenario calibration, UAT, and surveillance tool enhancements.
• Improve true-positive detection while reducing false positives.
• Provide surveillance expertise to FCM and BD Compliance teams.
• Collaborate with Compliance and business teams to enhance processes.
• Monitor regulatory developments and maintain industry knowledge.
• Ensure compliance with SEC, FINRA, NFA, CFTC, and applicable exchange requirements.
• Follow operational risk, internal policies, Code of Conduct, and escalation requirements.
• Support risk management and other surveillance initiatives as assigned.

What We’re Looking For:

• 3+ years Financial markets surveillance experience required.
• Bachelor’s degree in Finance, Economics, Business, or related field preferred.
• Strong understanding of U.S. financial markets and regulatory environments.
• Strong data analysis, interpretation, and problem-solving skills.
• Proficient in Microsoft Office (Word, Excel, Outlook).
• Excellent written and verbal English communication skills.
• Strong organizational, time-management, and prioritization skills.
• Curious, resilient, adaptable, and self-motivated.
• Strong relationship-building, communication, and influencing skills.
• Collaborative team player with sound judgment and high integrity.
• Strategic thinker able to anticipate challenges and manage multiple priorities.

OOJ-1492G