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Director Trade Surveillance Jobs (NOW HIRING)

moomoo

Director, Compliance (AML)

Jersey City, NJ

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ... Trade surveillance and market abuse monitoring experience, including suspicious trading activity ...

moomoo

Director, Compliance (AML)

Jersey City, NJ · On-site

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ... Trade surveillance and market abuse monitoring experience, including suspicious trading activity ...

moomoo

Director, Compliance (AML)

Jersey City, NJ · On-site

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ... Trade surveillance and market abuse monitoring experience, including suspicious trading activity ...

moomoo

Director, Compliance (AML)

Dallas, TX · On-site

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ... Trade surveillance and market abuse monitoring experience, including suspicious trading activity ...

moomoo

Director, Compliance (AML)

Dallas, TX

As the Director/AML Compliance, you will lead a dedicated team responsible for monitoring and ... Trade surveillance and market abuse monitoring experience, including suspicious trading activity ...

Kestra PWS

Director, Surveillance

Austin, TX · On-site

$150 - $200/hr

The Director of Surveillance leads the firm's surveillance program and is responsible for ... trading activity, advisory activity, and financial professional conduct. * Oversee the review ...

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Senior Director - Deputy Chief Compliance and Regulatory Officer (DCCRO)

Rothera

Chicago, IL • On-site

$190K - $225K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Posted 24 days ago

Key responsibilities

  • Assist the CCRO in developing, implementing, and monitoring the firm's compliance program to ensure adherence to CFTC Core Principles and the Commodity Exchange Act.

  • Serve as the primary liaison to the CFTC, managing audits, filing self-certifications, ensuring accurate reporting, and responding to inquiries.

  • Drive automation and systems integration for compliance monitoring, regulatory reporting, trade surveillance, and risk monitoring.

Job description

Building markets for the new trading frontier.

Bringing the future into focus.

Rothera is building the premier prediction market in partnership with Robinhood and Susquehanna International Group.

By empowering traders to take positions on the events that shape our world Rothera's platform harnesses the scale and power of financial markets to produce timely, unique, and effective information discovery for leaders and decision makers to ask and answer their most important questions. 

Rothera operates at the frontier, generating market-driven forecasts that turn intuition into insight.

About the role

This role will be part of the Exchange Market Regulation team responsible for enforcing the Exchange's rules through market advisories, investigations, trade surveillance, and disciplinary actions.  As we continue to launch new products and scale out Exchange offerings, we are looking for a Senior Director, Deputy Chief Compliance and Regulatory Officer to join the team and assist the CCRO in leading a world-class regulatory and compliance function.  If you've helped lead the compliance program of a CFTC registrant, or navigated CFTC/NFA scrutiny, this is your moment to help shape a high-growth Exchange from the ground up.

What you'll do
  • Assist the CCRO in the development, implementation and monitoring of the firm's compliance program, including all aspects of regulatory compliance for the Exchange, ensuring ongoing adherence to CFTC Core Principles and the Commodity Exchange Act.
  • Serve as the Exchange's primary liaison to the CFTC, including managing audits, filing self-certifications, ensuring accurate reporting and responding to inquiries.
  • Assist the CCRO in oversight of the ongoing development and adherence to our policies, internal controls - ensuring best-in-class standards for risk, surveillance, KYC/AML, customer protection and information security.
  • Drive automation and systems integration for compliance monitoring, regulatory reporting, trade surveillance, and clearinghouse risk monitoring.
  • Support executive-level reporting on compliance posturing, regulatory updates, and material risks.
  • Collaborate with legal, finance, and operations teams to ensure integrated compliance practices.
  • Lead training initiatives to promote compliance awareness across the Exchange.
What you'll bring
  • 10+ years of experience in compliance leadership roles at a DCM, DCO, or regulatory agency (CFTC/NFA strongly preferred)
  • Proven track record of direct oversight of core principles and market integrity programs
  • Deep working knowledge of the Commodity Exchange Act (CEA), CFTC Core Principles, and Surveillance and Financial Integrity requirements.
  • Hands-on experience with audits, AML/KYC program design, and surveillance frameworks.
  • Confidence interfacing with regulators, external counsel, and executive leadership.
  • A passion for innovative market structure and a desire to find solutions within a compliance and ethical framework.
  • Bachelor's degree required; JD or advanced regulatory certifications are a plus
Benefits & Compensation

This position has a base salary of $190,000-$225,000 per year. 

Rothera is dedicated to advancing the careers and personal wellbeing of our team members. We are continuously exploring ways to support our employees holistically, including a 401(k) plan with employer match, health, vision, and dental insurance for employees and eligible dependents, paid time off, and much more.

Why you should join the mission

If you want a critical role in a path-breaking company, you belong here. 

Rothera values initiative from individuals of all backgrounds. We are proud to be an inclusive workplace and do not discriminate on the basis of race, religion, national origin, age, disability or handicap, sex, marital status, veteran status, sexual orientation, or any other characteristic protected by applicable federal, state or local laws.

This is a full-time, in-person hybrid position. This position is not available for visa sponsorship now or in the future. Applicants must be authorized to work in the U.S. on a permanent, indefinite basis.

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