Company: the small exchange

The market surveillance team at the Small Exchange monitors trading to prevent market manipulation, price distortions, and other potentially harmful activity that would affect the functioning of our market. The Market Surveillance Analyst will assist the Chief Regulatory Officer with financial surveillance of clearing members and provide overall support for the regulatory department of the Small Exchange.

The Market Surveillance Analyst monitors exchange product(s), related cash and derivative markets to detect market conditions and activity that may adversely impact Small Exchange products. Analysts are provided with tools and information sources that display manipulation and analysis of data related to trading activity, position maintenance, and news. They work closely with Exchange staff and develop the capacity to conduct high quality routine surveillance and investigations with minimal supervision.

The ideal candidate possesses a proactive, hands-on style and thirst for knowledge that will contribute to the Exchange’s compliance with CFTC rules and regulations, as well as internal rules, policies, procedures. The candidate should be self-motivated, able to simultaneously manage multiple, time-sensitive tasks, and possess an eye for detail.

What you'll do:

  • Utilize third-party and proprietary market surveillance software to conduct real-time trade analysis and market surveillance, as well as post-trade compliance monitoring
  • Review daily system-generated reports, such as trade activity reports, exception reports, and alerts triggered by surveillance systems, to ensure compliance with regulatory requirements and Exchange rules
  • Document compliance and surveillance reviews and findings and assist with the preparation of regulatory findings and annual reports
  • Conduct investigations in connection with the Exchange’s monitoring of compliance with position limits, delivery, and reporting rules
  • Develop a solid understanding of surveillance and product rules, deliveries and back-office protocols, and surveillance and investigative techniques
  • Exhibit strong written and verbal communication skills
  • Routinely interact with market participants and clearing firms in connection with Exchange surveillance reports and other compliance-related issues
  • Perform ongoing monitoring of Exchange participants, market participation, deliveries, news, and economic performance of assigned products, and demonstrate a solid understanding of the fundamental factors influencing pricing of assigned contracts
  • Prepare written reports for review by management and, in situations involving material rule violations, presented to Exchange disciplinary committees
  • Assist with managing the Exchange’s code of ethics, personal trading policies, and email reviews, utilizing compliance software
  • Identify ways of creating efficiencies/improving processes to the Exchange’s compliance program using best practices
  • Monitor changes in regulatory environments and update internal policies and procedures accordingly
  • Ensure Exchange files are accurately maintained, complete, and consistently updated

Who you are:

  • 2-4 years’ of experience in trade surveillance, regulation, compliance, analytics, or a closely related field at an exchange, self-regulatory organization, Broker-Dealer, Futures Commission Merchant, or similar financial services organization (recent graduates may be considered based on education, internship, or other similar experience)
  • Knowledge of the Commodity Exchange Act and the rules and regulations promulgated thereunder
  • Strong software aptitude, analytical, and quantitative skills; ability to research, schedule, analyze, and present findings
  • Excellent oral and written communication skills
  • Ability to work both independently, as well as in a small-team environment with minimal supervision
  • MS Office: Intermediate to advanced knowledge of MS Word and MS Excel
  • Working knowledge of various proprietary market regulation systems, preferred
  • Bachelor’s degree in a relevant field or equivalent work experience within the financial services industry

Characteristics and Attributes

  • Exceptional attention to detail and organizational skills
  • Strong conceptual and critical thinking skills
  • High level of integrity and professionalism
  • Excellent interpersonal skills with the ability to work independently and as a member of a team
  • Driven by collective success
  • Self-starter who has the desire to constantly improve status quo

About Us: 
The tasty house of brands empowers individual traders differently. tastylive, founded in 2011, is an online financial media network, tastytrade (previously known as tastyworks) is a self-directed retail brokerage firm that launched in 2017, tasty Software Solutions and tastyfx, is a registered Forex broker-dealer. In 2021, London-based IG Group acquired tastylive, Inc. (previously known as tastytrade) and assigned it to lead business in North America. tastyfx is the fastest-growing forex broker in the US over the past few years. Changing the IG US name to tastyfx marks the next chapter, in aligning with the tasty brand family and offering a more forex-focused experience. This combined team has years of experience like institutional brokers, but also a passion for disrupting the entire trading industry.     

Our dream is simple: we want more people to find more success with a better trading experience. That’s why we’re investing heavily in the right people, technology, and media to make that happen in the US and across the globe.    

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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