Principal Compliance Associate - Market Surveillance

The role

The Principal Compliance Associate will own complex market abuse investigations end to end. They will also lead threshold and model reviews, support surveillance platform integration, and contribute to market abuse risk assessments.

What you will do

• Own complex investigations end to end
• Write findings to a standard a regulator can rely on
• Present conclusions to a range of stakeholders
• Lead or contribute to periodic threshold and model reviews
• Recalibrate surveillance rules and alert thresholds
• Support the design, build-out and integration of surveillance platform capability
• Contribute to market abuse risk assessments
• Use AI and automation tools for evidence-gathering and detection-model development
• Support conflicts of interest, information barrier, and personal account dealing matters

Required qualifications

• Experience investigating market abuse or trading conduct inside a firm subject to market conduct regulation
• Track record running investigations end to end
• Working knowledge of core market abuse typologies e.g. spoofing, wash trading, insider trading, front running, ramping
• Experience with, or strong working knowledge of, threshold and model calibration, surveillance platform integration, market abuse risk assessments, and audit remediation
• Comfort using generative AI and other automation tools
• Familiarity with a surveillance platform (such as Scila, Nasdaq SMARTS, Eventus, or NICE Actimize)
• Comfort with SQL or a similar query tool for evidence-gathering
• Clear, evidence-first written communication

Nice to have

• Exposure to crypto-asset markets
• E-comms surveillance experience

Before you apply

• Applicants are permitted to redact or remove information on their resume that identifies age, date of birth, or dates of attendance at or graduation from an educational institution
• We may ask candidates to complete job-related skills or work-style assessments as part of our hiring process

About the company

Payward is the parent company behind Kraken, NinjaTrader, Breakout, xStocks, Payward Services and CF Benchmarks. Kraken is a crypto platform trusted by over 10 million individuals and institutions.