Sr. Compliance Associate Lead - Market Surveillance

The role

The Senior Compliance Associate Lead will conduct complex end-to-end market abuse investigations and own areas of the surveillance programme. This role involves reviewing colleagues' work, contributing to threshold and model reviews, and drafting suspicious transaction and activity reports.

What you will do

• Take complex investigations end to end and present conclusions to senior compliance stakeholders and the business.
• Act as a senior reviewer for colleagues' work and a point of escalation for judgement calls.
• Contribute to threshold and model reviews to recalibrate detection.
• Support surveillance platform and tooling work and validate detection needs.
• Draft suspicious transaction and order reports and suspicious activity reports.
• Contribute to market abuse risk assessment work and translate risks into surveillance coverage.

Required qualifications

• At least 4 years investigating market abuse or trading conduct inside a firm subject to market conduct regulation.
• Track record running investigations end to end and writing findings for regulators.
• Solid knowledge of core market abuse typologies across asset classes.
• Hands-on experience with a surveillance platform such as Scila, Nasdaq SMARTS, Eventus or NICE Actimize.
• Comfort with SQL or a similar query tool.
• Based in the UK, Ireland, Cyprus, Canada.
• Fluency in English.

Nice to have

• Exposure to crypto-asset markets
• Experience mentoring or acting as a senior reviewer for less experienced analysts
• Experience of a surveillance platform implementation or build-out
• Electronic communications 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.
• Candidates may be asked to complete job-related skills or work-style assessments as part of the 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.