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Department: Compliance

Reports To: AML Compliance Officer, tastytrade

Employment Type: Full-Time 

Salary: $101,000-$120,000

About the Role:

tastytrade is a FINRA-regulated broker-dealer and NFA member offering equities, futures, crypto, and prediction market products to retail clients. We are seeking a Senior Surveillance Specialist to help build out, operate, and continuously improve our cross-asset trade surveillance and AML transaction-monitoring program. This role spans both the design and day-to-day execution of surveillance: developing and tuning detection logic, investigating alerts and customer escalations, monitoring cryptocurrency and blockchain activity, and preparing regulatory reporting - not simply administering an existing vendor tool.

The role supports surveillance coverage that satisfies FINRA's supervisory and anti-manipulation requirements (e.g., Rules 3110 and 3310), the parallel NFA/CFTC framework governing futures (e.g., NFA Compliance Rules 2-4 and 2-9, and CFTC Rules 180.1/180.2 and CEA Section 4c(a)), and the firm's BSA/AML and KYC/KYT obligations under the Bank Secrecy Act and USA PATRIOT Act.

What You'll Do:

• Design, build, and test surveillance scenarios/alerts across equities, options, futures, crypto, and prediction markets, covering manipulative and abusive trading patterns (e.g., spoofing, layering, wash trading, front-running, marking the close, insider trading, cross-product/cross-market manipulation, uneconomical trading).
• Tune and validate surveillance thresholds and models; document methodology, coverage, and testing/back-testing results to demonstrate reasonable design under FINRA Rule 3110 and NFA Compliance Rule 2-9.
• Conduct first- and second-level review of surveillance alerts and customer escalations; investigate potential violations of FINRA, SEC, NFA Compliance Rule 2-4 (Just and Equitable Principles of Trade), CFTC Rules 180.1/180.2, CEA Section 4c(a), and internal policies.
• Conduct thorough investigations into suspicious transactions or activities, collaborating with Compliance, Legal, and Operations to gather necessary information and evidence.
• Monitor cryptocurrency transactions and blockchain activity for signs of suspicious or illicit behavior, using blockchain analytical software to satisfy the firm's Know Your Transaction (KYT) requirements and identify potential risks.
• Draft, review, and file Suspicious Activity Reports (SARs) arising from trade surveillance in accordance with BSA/AML requirements; maintain SAR documentation and related recordkeeping.
• Report and escalate suspicious activities to appropriate regulatory or law enforcement agencies as required; prepare regulatory reporting and respond to inquiries, exams, and requests for information from FINRA, the SEC, and the CFTC/NFA.
• Communicate with customers on monitoring and surveillance-related matters.
• Partner with Compliance, Legal, and Technology teams to define requirements for new or enhanced surveillance tools, including vendor system implementation or in-house build.
• Maintain and update Written Supervisory Procedures (WSPs) covering trade surveillance, market manipulation, and associated SAR filing across all product lines, including futures-specific procedures required under NFA Compliance Rule 2-9.
• Monitor for emerging manipulation typologies specific to newer product types (e.g., crypto market abuse, prediction market-specific manipulation such as outcome manipulation or coordinated wash trading).
• Coordinate with the CAT reporting team as needed to support surveillance investigations that rely on CAT data (CAT reporting itself is owned by a separate team).
• Track and report key surveillance metrics (alert volumes, false-positive rates, SAR filing statistics, case aging) to senior management and committees.
• Stay current on regulatory developments across FINRA, SEC, and CFTC/NFA affecting surveillance and AML obligations, and translate them into program and procedural updates.
• Support general compliance initiatives, including procedural review and ad hoc projects.

Who You Are:

• 2-5+ years of trade surveillance and/or AML transaction-monitoring experience at a broker-dealer, FCM, exchange, or regulator; experience building or materially enhancing a surveillance program is a strong plus (versus solely operating an out-of-the-box tool).
• Active licenses: Series 7, Series 63 (or 66), and Series 3 (National Commodity Futures) required; Series 24 preferred.
• Sound working knowledge of relevant rulebooks and regulations, including FINRA Rules 3110/3310, SEC Rule 15c3-5, NFA Compliance Rules 2-4 and 2-9, CFTC Rules 180.1/180.2, CEA Section 4c(a), the Bank Secrecy Act (BSA), the USA PATRIOT Act, and AML/KYC requirements for broker-dealers and NFA introducing brokers, plus awareness of applicable crypto/digital asset regulatory frameworks.
• Demonstrated experience writing and filing SARs, including familiarity with FinCEN SAR forms and BSA/AML narrative-writing standards.
• Experience with surveillance platforms (e.g., NICE Actimize, Nasdaq SMARTS, Eventus Validus, or similar) and blockchain analytical/KYT software; comfort partnering with engineering on custom/in-house surveillance logic, including hands-on experience with data stored on/processed via AWS S3, strongly preferred.
• Strong SQL and data analysis skills; ability to query large trade/order datasets to investigate alerts and validate surveillance logic.
• Strong analytical and investigative skills, with the ability to identify suspicious patterns, conduct detailed investigations, and make sound judgments based on available information.
• Excellent written and verbal communication skills, with the ability to effectively interact with internal stakeholders, regulatory authorities, external parties, and customers.
• Collaborative and team-oriented approach, capable of working with cross-functional teams and building strong relationships across the organization.
• Experience with multi-asset class surveillance a strong plus, particularly any exposure to digital assets or novel/event-contract products.
• Bachelor's degree required; advanced degree or certifications (e.g., CAMS - Certified Anti-Money Laundering Specialist, CFE) a plus.

• Performance Bonuses 
• Stock Purchase Options 
• Medical/Vision/Dental Benefits
• 401k Plan 
• 20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday!) 
• 10 Paid Sick Days 
• Gym Membership Reimbursement 
• Commuter Benefits 
• Pet Insurance 
• Wellness & Mental Health Programs 
• Charitable Donation Matching 
• Two Paid Volunteer Days Off 
• Daily catered lunch when in the office 
• Full kitchen with snacks and beverages 
• In-building gym 
• Shuttle to/from Metra