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Trade Surveillance, Manager

Madison-Davis

Houston, TX

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JOB DETAILS
SKILLS
Analysis Skills, Case Management, Communication Skills, Derivatives, Documentation, Global Financial Markets, Industry/Trade Analysis, Leadership, Maintain Compliance, Market Analysis, Market Tracking, Market Trend Analysis, Mentoring, Metrics, Monitor Regulations, People Management, Presentation/Verbal Skills, Regulations, Regulatory Compliance, Risk, Risk Analysis, Risk Management, Support Documentation, Surveillance, Technical Leadership, Trading/Stockbroking, Writing Skills
LOCATION
Houston, TX
POSTED
30+ days ago

A leading global financial institution is seeking an experienced Trade Surveillance Manager to join its market conduct and compliance function. This role will be responsible for overseeing surveillance activities across commodities and energy trading businesses, helping to identify potential market misconduct, assess regulatory risk, and strengthen the firm's surveillance and control environment.

The successful candidate will lead complex investigations involving trading activity and communications, provide subject matter expertise on market conduct risks, and partner with Compliance, Risk, and business stakeholders to ensure adherence to regulatory expectations and internal governance standards.

RESPONSIBILITIES

Trade Surveillance & Investigations
  • Conduct and oversee trade and communications surveillance reviews across commodities and energy trading businesses.
  • Investigate potentially suspicious trading activity, market conduct concerns, and regulatory risk events.
  • Analyze surveillance alerts, trading records, communications, and related data to determine whether escalation is warranted.
  • Reconstruct trading activity and assess behavior against applicable regulations, internal policies, and market conduct expectations.
  • Ensure investigative findings are thoroughly documented, supported by evidence, and completed within required timelines.

Market Conduct Risk Oversight
  • Identify and assess potential market abuse, manipulation, conduct, and trading-related risks.
  • Serve as an escalation point for complex or high-risk surveillance matters.
  • Evaluate control effectiveness and recommend enhancements to strengthen surveillance coverage.
  • Provide guidance on regulatory obligations, surveillance standards, and conduct risk management practices.

Regulatory Compliance & Governance
  • Support compliance with commodities and energy market regulations and exchange requirements.
  • Partner with Compliance, Legal, Risk, and business teams on investigations, remediation efforts, and regulatory inquiries.
  • Monitor emerging regulatory developments and industry trends impacting market conduct surveillance.
  • Contribute to governance reporting, management information, and surveillance metrics.

Leadership & Program Enhancement
  • Mentor and support junior surveillance professionals.
  • Promote investigative consistency, documentation quality, and adherence to surveillance standards.
  • Participate in surveillance optimization initiatives, scenario enhancements, and control improvements.
  • Collaborate with global teams to ensure consistent surveillance practices and risk management approaches.

QUALIFICATIONS

QUALIFICATIONS
  • 6 8+ years of experience within Trade Surveillance, Market Conduct Compliance, Regulatory Compliance, Market Abuse Monitoring, or related functions.
  • Strong knowledge of commodities and energy markets, including OTC trading environments.
  • Experience conducting surveillance investigations and analyzing trading activity.
  • Deep understanding of market abuse, manipulation, and conduct risk concepts.
  • Strong analytical and investigative skills with the ability to interpret complex trading and communications data.
  • Excellent written and verbal communication abilities.
  • Ability to manage competing priorities in a fast-paced regulatory environment.

PREFERRED EXPERIENCE
  • Experience supporting commodities, energy, physical trading, or derivatives businesses.
  • Familiarity with commodities market regulatory frameworks and exchange rules.
  • Experience working with surveillance technologies and case management platforms.
  • Background in regulatory enforcement, exchange surveillance, compliance investigations, or market oversight.
  • Prior leadership or mentorship experience within a surveillance or compliance team.

What This Role Offers
  • Opportunity to play a key role in protecting market integrity and managing conduct risk.
  • Exposure to global commodities and energy trading businesses.
  • Involvement in complex investigations and high-profile regulatory matters.
  • Leadership responsibilities within a growing surveillance function.
  • Strong career progression opportunities across surveillance, compliance, market conduct risk, and regulatory affairs.

About the Company

M

Madison-Davis

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