Control Room & Trade Surveillance Consultant

landing pointNiagara Falls, NYSenior L5

$50 - $100/hr

Securities, Commodities, and Financial Services Sales Agents Gambling Surveillance Officers and Gambling Investigators Financial Risk Specialists

Portfolio Management and Investment Advice Investment Banking and Securities Intermediation Miscellaneous Financial Investment Activities

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Company Overview: A globally recognized multi-strategy investment firm with extensive trading operations across various asset classes is seeking a Control Room & Trade Surveillance Consultant to support its advanced surveillance program. The role involves embedding within the compliance team to enhance the firm's global surveillance operations.

Job Responsibilities: Review, triage, and investigate second-line surveillance alerts across global trading venues. Support first-line supervisory control review processes with trading desks and quant research teams. Conduct investigations into potential market conduct issues and produce regulatory review summaries. Support AML surveillance operations, including transaction monitoring and SAR analysis. Assist with surveillance model calibration and alert threshold review. Contribute to the firm's governance and risk assessment framework. Support regulatory engagement preparation and maintain accurate case management records. Assist with periodic surveillance program reviews and regulatory examination responses.

Qualifications: Expertise in surveillance platforms, manipulation typologies, AML risk, or regulatory engagement. Experience in a technically demanding and operationally rigorous environment. Ability to produce work suitable for senior leadership and external regulators.

Compensation

Pay Rate: $50 - $100/hr

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Level

Senior L5

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Location

Niagara Falls, NY

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Posted

2 days ago

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