VP Compliance Market Surveillance

You will monitor trading and market activity to detect and address suspicious conduct, including fraud, market manipulation, insider trading, and other abusive practices. You will develop and implement fraud detection and prevention strategies in alignment with organizational and regulatory requirements. You will coordinate with external vendors and the internal engineering team to align relevant stakeholders. You will partner with cross-functional teams to establish, refine, and enforce compliance policies and controls. You will investigate and analyze alerts from surveillance systems and prepare reports on findings with actionable recommendations. You will ensure adherence to applicable regulatory requirements, including those of the SEC, FINRA, CFTC, FCA, and other relevant bodies. You will stay current on industry developments, emerging risks, and regulatory changes to ensure compliance measures remain robust and proactive. You will embrace and champion the thoughtful adoption of AI to improve team performance and business outcomes. You will leverage AI tools to improve productivity, decision-making, and output quality in your day-to-day work.

Responsibilities

Monitor trading and market activity to detect and address suspicious conduct, including fraud, market manipulation, insider trading, and other abusive practices.
Develop and implement fraud detection and prevention strategies in alignment with organizational and regulatory requirements.
Coordinate with external vendors and internal engineering teams to align relevant stakeholders.
Partner with cross-functional teams to establish, refine, and enforce compliance policies and controls.
Investigate and analyze alerts from surveillance systems and prepare reports on findings with actionable recommendations.
Ensure adherence to applicable regulatory requirements, including those of the SEC, FINRA, CFTC, FCA, and other relevant bodies.
Stay current on industry developments, emerging risks, and regulatory changes to ensure compliance measures remain robust and proactive.
Embrace and champion the thoughtful adoption of AI to improve team performance and business outcomes.
Leverage AI tools to improve productivity, decision-making, and output quality in your day-to-day work.

Requirements

Highly organized with meticulous attention to detail and a proven ability to deliver quality work in a fast-paced, high-volume environment.
Ability to apply traditional financial and legal concepts within the crypto space to navigate ambiguous situations and solve complex, novel problems.
3 to 5 years of compliance surveillance experience.
Product knowledge and transactional or regulatory experience within traditional Over-The-Counter “OTC” businesses.
Background in traditional financial markets; sell-side experience supporting trading desks preferred.
Comfortable managing multiple projects simultaneously in a fast-paced, evolving regulatory environment.
Experience working with trade and market data, including the ability to identify and troubleshoot data quality, mapping, and integration issues.
Familiarity with the flow of trading data from source systems into surveillance platforms, including validating data mappings, reconciling discrepancies, and partnering with Technology teams to support enhancements, testing, and ongoing system maintenance, is highly desirable.
Highly motivated, self-starter who takes initiative.
Positive attitude, and willingness to roll up sleeves (no job too big, no job too small).
Ability to think creatively and propose commercially pragmatic solutions.
Collaborative team member with a high level of professionalism and business judgment.
Excellent written and oral communication skills.

Benefits

Hybrid/Flexible Working Arrangements
Flexible Time Off (paid)
3% 401(k) company contribution
Company-paid health and protective benefits for employees, partners, and other dependents
Generous paid Parental Leave
Competitive family planning benefits for US employees
Opportunities to learn about the Crypto industry
Smart, entrepreneurial, and fun colleagues
Free daily snacks and weekly breakfasts/lunches
Employee Resource Groups
Free coaching and counseling sessions through Headspace