Compliance Consultant - Exchange Surveillance

Job Description

Job Description

Our client is seeking a market regulation and compliance consultant with approximately 5 years of experience to support the CCO of their upcoming cryptocurrency derivatives exchange. This exchange operates as a CFTC-regulated platform (DCM/DCO) utilizing advanced transaction monitoring systems. You will act as the frontline defense in clearing trade alerts, monitoring market integrity, and collaborating directly with the NFA’s Market Regulation department on T+1 surveillance data. This role will be onsite 3 days a week in Manhattan.

Key Responsibilities

• Alert Clearing & T+1 Monitoring: Manage real-time and T+1 market surveillance alerts; investigate, document, and clear or escalate suspicious activity.
• Regulatory Collaboration: Interface directly with the NFA Market Regulation department to coordinate trade surveillance data, review audits, and manage regulatory loops.
• DCM/DCO Compliance: Support the CCO in ensuring the exchange continuously adheres to CFTC Core Principles governing designated contract markets and clearing organizations.

• Experience: Around 3 to 5 years of specialized experience in market regulation, trade surveillance, or transaction monitoring at a DCM, DCO, or crypto exchange.
• Framework Mastery: Deep knowledge of CFTC market surveillance rules. (Note: This is a pure CFTC/NFA ecosystem; FINRA experience is secondary to derivatives exchange knowledge).
• Technical Aptitude: Direct experience operating institutional surveillance software (e.g., Aventus, Eventus, Nice Actimize).
• Skills: Strong investigative skills with specific experience analyzing order books, trade logs, and market data.