What are the responsibilities and job description for the Trade Surveillance | Compliance Specialist position at mosaicpartners?
Seeking an experienced Trade Surveillance & Compliance Specialist to be responsible for conducting daily reviews of trading activity across multiple asset classes to detect potential market manipulation, insider trading, and other forms of misconduct. This role supports the firm’s overall compliance framework by monitoring exception reports, reviewing automated alerts, escalating suspicious activity, and assisting with special projects. The ideal candidate brings strong analytical skills, market knowledge, and a proactive mindset to help ensure adherence to regulatory requirements and internal policies.
QUALIFICATIONS
- 5 years of experience in trade surveillance, compliance, market regulation, trading operations, or a closely related function.
- Prior experience at a regulatory authority, broker-dealer, bank, exchange, or buy-side firm is highly preferred.
- Specific exposure to equities or futures markets is preferred.
- Bachelor’s degree in Finance, Economics, Business, or a related field preferred.
- Series 7 or Series 3 license is a plus.
- Strong written and verbal communication skills, with the ability to clearly document findings and escalate concerns.
- Excellent analytical and creative problem-solving abilities.
- Ability to manage multiple tasks and competing priorities in a fast-paced environment.
- High attention to detail with sound judgment and discretionary escalation capabilities.
- Skilled at identifying complex problems, evaluating alternatives, and recommending solutions.
- Highly motivated self-starter with flexibility to work under pressure and meet deadlines.
- Team-oriented mindset with genuine enthusiasm for trading markets and market structure.
- Advanced proficiency in Excel, including handling large data sets and performing analytical functions.
- Experience with Nasdaq Trade Surveillance (NTS), Actimize, Tableau, or other surveillance | analytics platforms is a strong plus.
- Familiarity with building or maintaining compliance metrics dashboards to support reporting and oversight.
This role will sit ONSITE out of Miami, FL