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 false positives.
• Participate in testing and validation of surveillance data, OMS/EMS integrations, and monitoring systems.
• Monitor regulatory developments and ensure compliance with SEC, Client, CFTC, NFA, and exchange requirements.

Qualifications

• Experience in Trade Surveillance, Market Conduct Compliance, or Communications Surveillance within a broker-dealer, bank, FCM, or trading firm.
• Knowledge of equities, fixed income, derivatives, commodities, and futures markets.
• Familiarity with surveillance platforms, trade monitoring systems, and regulatory requirements.
• Strong analytical, investigative, and communication skills.
• Ability to operate effectively in a fast-paced, highly regulated trading environment.