- Perform real-time monitoring of exchange activity and security feeds to identify market abuse like wash trading and spoofing.
- Monitor participant compliance with margin requirements and position limits.
- Conduct post-trade reviews and forensic analysis of flagged transactions.
- Investigate potential rule violations by compiling records and drafting reports for the Chief Regulatory Officer.
- Assist in preparing responses to regulatory inquiries and audits.
- Contribute to the refinement of surveillance protocols and compliance frameworks.
- Support enforcement of KYC/AML procedures and transaction monitoring.
- Collaborate with Legal, Risk, and Technology teams to improve compliance workflows.
ComplianceRisk Management