- Utilize computer resources and specially designed applications to analyze and review trading activity deemed to be unusual or suspicious
- Conduct in-depth research and analysis to validate surveillance output using various market data tools and specialized software applications
- Communicate with member firms orally and in writing to obtain information relevant to activity under review
- Analyze member firms’ responses to determine if further investigation or further action is warranted
- Investigate potential issues arising from operational and business units within MEMX
- Assist in surveillance design, parameter and user acceptance testing and creation / maintenance of surveillance procedures
- Ensure that surveillances are kept current with MEMX business offerings and market structure changes in order to recommend enhancements when necessary
- Prepare memoranda to document the MEMX investigative process, member firms responses, and to recommend dispositions
- Research and respond to complaints
- Analyze and research activity referred by other regulators
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