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Trade Surveillance Analyst Jobs (NOW HIRING)

tastylive

Senior Surveillance Analyst

Chicago, IL · On-site

$101K - $120K/yr

... analytical software to satisfy the firm's Know Your Transaction (KYT) requirements and identify ... Draft, review, and file Suspicious Activity Reports (SARs) arising from trade surveillance in ...

tastylive

Senior Surveillance Analyst

Chicago, IL · On-site

$101K - $120K/yr

... analytical software to satisfy the firm's Know Your Transaction (KYT) requirements and identify ... Draft, review, and file Suspicious Activity Reports (SARs) arising from trade surveillance in ...

Nasdaq

Extended Hours Surveillance Analyst

$160K/yr

The Role We'relooking for an Extended Hours Surveillance Analyst to join our Market Surveillance ... Monitor equity trading in real time,identifyingsuspicious patterns, unusual price movements, and ...

The Voleon Group

Manager - Trade Surveillance

Berkeley, CA · On-site +1

$160K - $190K/yr

As Manager - Trade Surveillance, you will be the manager of our compliance control room, which is ... Supervise the work of junior compliance analysts who prepare trading related regulatory filings

Staffingine LLC

Business Analyst

Pennington, NJ · On-site

Conduct detailed analysis to map OTC financial products, ensuring comprehensive coverage within trade surveillance systems. This includes understanding the relationships between derivatives, swaps ...

Clear Street

Associate - Surveillance

New York, NY · On-site

$95K - $110K/yr

The Compliance Team seeks a detail-oriented and motivated Surveillance Associate to be responsible ... The position requires strong analytical judgment and experience reviewing complex trading ...

Clear Street

Associate - Surveillance

New York, NY · On-site

$95K - $110K/yr

The Compliance Team seeks a detail-oriented and motivated Surveillance Associate to be responsible ... The position requires strong analytical judgment and experience reviewing complex trading ...

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Trade Surveillance Analyst information

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How much do trade surveillance analyst jobs pay per year?

As of Aug 18, 2026, the average yearly pay for trade surveillance analyst in the United States is $138,141.00, according to ZipRecruiter salary data. Most workers in this role earn between $157,000.00 and $157,000.00 per year, depending on experience, location, and employer.

What is a trade surveillance analyst?

A Trade Surveillance Analyst is responsible for monitoring and analyzing trading activities to detect and prevent market abuse, fraud, and regulatory violations. They use surveillance tools and data analysis to identify suspicious patterns in trades and escalate potential risks to compliance teams. The role requires knowledge of financial markets, trading regulations, and analytical skills to ensure trading activities align with legal and ethical standards. Analysts often collaborate with legal, compliance, and technology teams to improve surveillance processes and stay updated on industry regulations.

What are some typical challenges faced by trade surveillance analysts?

Trade Surveillance Analysts often face the challenge of monitoring vast volumes of trading data to identify potentially suspicious or non-compliant activities. Staying updated on evolving regulations and adapting to new surveillance systems or market practices can also be demanding. The role frequently involves collaborating with compliance teams, IT, and senior management to investigate alerts and resolve complex cases. Developing a keen eye for detail and maintaining consistent documentation are essential to managing these challenges successfully.

What are the key skills and qualifications needed to thrive as a trade surveillance analyst?

To thrive as a Trade Surveillance Analyst, you need a strong understanding of financial markets, regulatory compliance, and data analysis, often supported by a degree in finance, economics, or a related field. Familiarity with surveillance platforms (such as NICE Actimize or SMARTS), SQL, Excel, and certifications like CAMS or Series 7 are highly valued. Strong analytical thinking, attention to detail, and effective communication skills distinguish top performers in this role. These competencies ensure accurate detection and reporting of suspicious trading activities, helping firms maintain compliance and mitigate regulatory risk.

How to become a trade surveillance analyst?

To become a trade surveillance analyst, candidates typically need a bachelor's degree in finance, economics, or a related field. Relevant skills include knowledge of trading systems, regulatory requirements, and data analysis tools like SQL or Excel; certifications such as the Financial Industry Regulatory Authority (FINRA) Series 7 or 24 can also enhance prospects. Experience in financial markets or compliance is often preferred for entry-level roles.

What does a trade surveillance analyst do?

A trade surveillance analyst monitors trading activity to detect and prevent market abuse, insider trading, and other violations. They use specialized software and data analysis skills to review transactions, identify suspicious patterns, and ensure compliance with regulations. This role often requires knowledge of financial markets, regulatory standards, and attention to detail.
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Infographic showing various Trade Surveillance Analyst job openings in the United States as of August 2026, with employment types broken down into 86% Full Time, 11% Part Time, 1% Temporary, 1% Contract, and 1% Nights. Highlights an 92% Physical, 2% Hybrid, and 6% Remote job distribution, with an average salary of $138,141 per year, or $66.4 per hour.

Senior Surveillance Analyst

tastylive

Chicago, IL • On-site

$101K - $120K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Posted 19 days ago

Job description

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.

Company Perks + Benefits:
  • 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

Discretionary Performance Bonus: 8-10% of base salary based on individual and company performance.
About IGNA + tasty
IG North America is home to tastytrade, tastylive, and tastyfx-a family of brands built to democratize trading and empower individual investors. Founded in Chicago by the creators of thinkorswim, acquired by London-based IG Group in 2021, we combine startup innovation with the backing of a FTSE 100 fintech operating across five continents serving over 1.3m customers and handling billions of dollars in transactions - built on scale, trust, and proof.
From our headquarters in Chicago's Fulton Market, our team builds award-winning trading platforms, produces live financial education content daily, and creates technology that makes complex markets accessible. tastytrade is our retail brokerage for self-directed investing and trading, with tastylive providing content to educate our customers. tastyfx is the fastest-growing forex broker in the US.
We're a lean, collaborative team that values autonomy, pragmatism, and impact. Whether you're building technology, creating content, serving customers, or supporting operations, you'll work alongside people who are passionate about disrupting traditional finance and genuinely care about helping traders succeed. Our culture rewards initiative, embraces experimentation, and measures success by the value we create for our users. The bar is high - bring a curious and forward-thinking mindset and we'll give you the platform to define what comes next. Join us at IG|tasty - the future gets built here.
Location: Our office is in the West Loop - Chicago's growing center of tech, great cuisine, and high-end bars.
tastytrade | tastylive | tastyfx
1330 W Fulton Market, Chicago, IL 60607
*Don't meet every single requirement? Studies have shown that women and people of color are less likely to apply to jobs unless they have every single qualification. Our team is dedicated to building a diverse, inclusive, and authentic workplace, so if you're excited about this role, but your experience doesn't align perfectly, we encourage you to apply anyway. You may be just the right candidate for this or other roles!

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