Surveillance Officer

Broker dealer client is seeking a Surveillance Compliance Officer to join its Chicago Compliance team. This role will focus on electronic communications, voice, and trade surveillance across multiple asset classes including Equities, Fixed Income, Commodities, futures, Options, and Swaps. The position offers broad exposure to market conduct compliance within a leading global broker-dealer and FCM platform.


Responsibilities

• Conduct trade, voice, and e-communications surveillance reviews across US Broker Dealer and FCM business lines.


• Escalate potential market conduct concerns to management and Compliance stakeholders.


• Partner with traders, supervisors, Compliance, and Risk teams to support investigations and surveillance inquiries.


• Produce surveillance reporting and metrics for senior management.


• Support enhancement and calibration of surveillance scenarios to improve detection effectiveness and reduce f...