VP, Trade Surveillance Compliance Manager

VP, Trade Surveillance Compliance Manager

Location: Jacksonville, FL

In-Office

Company Overview

Cantor Fitzgerald is a leading global financial services firm known for its commitment to excellence, innovation, and integrity. We are seeking a highly skilled professional with extensive expertise in BSA/Patriot Act compliance and financial crime prevention within a regulated broker-dealer environment.

Position Summary

This individual will be responsible for managing and enhancing the firm’s obligations related to the supervision, detection, and reporting of potential money laundering, market abuse, and financial crime activities. The role places significant emphasis on trade surveillance oversight, including the design, calibration, and governance of surveillance controls to detect potential manipulative or suspicious trading activity.

The ideal candidate will bring deep experience in AML program management, trade surveillance frameworks, and regulatory compliance, along with the ability to drive operational excellence and collaborate effectively across Compliance, Risk, Legal, Operations, and Technology functions.

eports To:

Head of U.S. Financial Crime Compliance

Key Responsibilities

• Lead the execution and oversight of the firm’s AML and trade surveillance compliance programs, ensuring alignment with regulatory expectations (e.g., FINRA, SEC, CFTC, and global equivalents).
• Design, implement, and continuously enhance trade surveillance controls to detect potential market abuse, including spoofing, layering, wash trading, front-running, and insider trading.
• Develop, refine, and maintain surveillance scenarios, alert logic, and thresholds across asset classes (equities, fixed income, derivatives, etc.).
• Oversee the governance and effectiveness of surveillance systems, including tuning, model validation, alert disposition workflows, and escalation protocols.
• Partner with Technology and Data teams to improve data quality, integration, and surveillance system capabilities (e.g., real-time vs. batch monitoring).
• Conduct and oversee complex investigations involving trading activity, suspicious behavior, and potential financial crime, ensuring thorough documentation and appropriate escalation.
• Coordinate and review the preparation and filing of Suspicious Activity Reports (SARs) and other regulatory filings, ensuring accuracy and timeliness.
• Develop and maintain risk assessment frameworks that incorporate both AML and trade surveillance risks, including customer behavior and trading patterns.
• Identify, assess, and remediate control gaps in surveillance and monitoring processes; drive enhancements to improve detection and reduce false positives.
• Support regulatory exams, audits, and inquiries, including responding to requests related to surveillance and AML controls.
• Provide subject matter expertise and training on market abuse risks, trading conduct, and financial crime typologies to internal stakeholders.
• Collaborate with Front Office, Compliance Advisory, and Legal teams to ensure appropriate supervision of trading activity and adherence to firm policies.

Qualifications

• 7–10 years of experience in AML, trade surveillance, or financial crimes compliance within a broker-dealer, investment bank, or financial institution.
• Strong hands-on experience with trade surveillance programs, including scenario development, alert review, and investigations related to market abuse.
• Demonstrated knowledge of market abuse typologies (e.g., spoofing, layering, insider trading, manipulation) and relevant regulatory frameworks (FINRA, SEC, CFTC).
• Proven experience working with trade surveillance systems (e.g., Nasdaq SMARTS, NICE Actimize, OneTick, Eventus Validus, or similar platforms).
• CAMS certification required; additional certifications (e.g., CFE, CFA, or Series 7/24) a plus. Law degree a plus.
• Strong working knowledge of BSA/AML regulations, including the Bank Secrecy Act and USA PATRIOT Act, and how they intersect with trading activity.
• Experience with data analysis and surveillance analytics, including the ability to interpret large datasets and identify meaningful patterns.
• Excellent analytical, investigative, and problem-solving skills with strong attention to detail.
• Strong communication and presentation skills, with the ability to interface effectively with senior stakeholders and regulators.
• Ability to operate independently and manage multiple priorities in a fast-paced, high-pressure environment.

Preferred Skills

• Experience in multi-asset class surveillance (equities, fixed income, derivatives, FX).
• Familiarity with electronic trading environments and order lifecycle data.
• Experience with model tuning, threshold calibration, and surveillance optimization.
• Knowledge of data visualization tools (e.g., Tableau, Power BI) and/or SQL/Python for analytics.
• Prior experience supporting regulatory exams specifically focused on trade surveillance or market conduct.

** No Relocation Assistance available

** No Sponsorship available

** No Vendor resumes will be accepted at this time