> Markdown version of [/jobs/ext/2722759-vice-president-trading-surveillance-compliance](https://www.wearedevelopers.com/jobs/ext/2722759-vice-president-trading-surveillance-compliance). Every page supports `.md` or `Accept: text/markdown`. Links point to the HTML versions so they work for humans too. Agent guide: [/agents.md](https://www.wearedevelopers.com/agents.md). --- # Vice President, Trading Surveillance Compliance - **Company:** Futu Holdings Limited - **Location:** Jersey City, NJ, United States (Remote available) - **Experience:** Expert - **Salary:** $120,000.0 - $160,000.0 - **Contract:** Permanent contract - **Skills:** Audit Trail, Digital Assets, Pattern Recognition, Spoofing - **Published:** September 4, 2026 - **Apply:** https://startup.jobs/vice-president-trading-surveillance-compliance-moomoo-7603205 ## About the Role * 7+ years of hands-on trade surveillance experience at a FINRA member firm, clearing firm, exchange, regulator, or similar financial institution. * Extensive surveillance experience covering: * Equities * Options * Digital assets / crypto Strong knowledge of market abuse detection and surveillance methodologies across multiple asset classes. Experience using NASDAQ SMARTS and other surveillance technologies such as OneTick, Eventus, or OMS-related platforms. Direct experience managing: * FINRA investigations * Electronic Blue Sheet (EBS) requests * NFA or other regulatory inquiries Strong understanding of U.S. securities and futures market structure, including: * CME/ICE exchange environments * Globex trading behavior * Position limits and account aggregation * Give-ups, block trades, and EFRPs * FCM/IB relationships Series 7, Series 3, and Series 24 licenses (active or eligible for transfer). Strong analytical, investigative, written, and verbal communication skills. Ability to operate independently in a fast-paced and highly regulated environment. Preferred / Plus Qualifications * Futures and NFA-related surveillance experience. * Experience at a clearing firm or organizations supporting introducing broker-dealers. * Prior involvement in regulatory examinations, enforcement matters, or remediation initiatives. * Familiarity with: * CFTC and NFA regulatory frameworks * Large trader reporting * Futures recordkeeping requirements * Audit trail and supervisory expectations ## Description The Vice President, Trading Surveillance will be responsible for monitoring, investigating, and escalating potential market abuse and regulatory violations across multiple asset classes. This role supports the firm's compliance with FINRA, SEC, and other applicable regulatory requirements and works closely with Compliance, Legal, and Operations. The ideal candidate will have deep experience with equities, options, and crypto surveillance, strong investigative skills, and hands-on expertise with NASDAQ SMARTS., Conduct daily trade surveillance reviews using NASDAQ SMARTS and related surveillance platforms across: * Equities * Options * Digital assets / crypto * Futures and event contracts (preferred) Analyze and disposition surveillance alerts related to potential market manipulation and abusive trading practices, including: * Spoofing and layering * Wash trading * Marking the close * Front-running * Momentum ignition * Cross-product and cross-market manipulation * Cross-venue futures activity * Calendar spread abuse Perform complex investigations involving: * Trading pattern analysis * Account relationship reviews * Order lifecycle analysis * Cross-product linkage analysis across equities, options, futures, and crypto products Review and interpret futures surveillance data, including CME market data and related trading activity. Prepare investigative findings, escalation memos, exception reports, and regulatory responses with clear and defensible conclusions. Respond to regulatory inquiries and examinations, including: * FINRA investigations * Electronic Blue Sheet (EBS) requests * NFA examinations and inquiries * Other regulatory requests and audits Partner with Compliance, Legal, Trading, Operations, and Technology teams to obtain data, communicate findings, and support remediation efforts. Assist in the enhancement of surveillance rules, thresholds, procedures, and controls to address evolving market structure, products, and regulatory expectations. Stay current on FINRA, SEC, CFTC, NFA, and broader regulatory developments impacting market abuse and trade surveillance. ## Related Videos - [Resilient by Design: Building Robust Architectures in High-Stakes Financial Systems](https://www.wearedevelopers.com/videos/2106-resilient-by-design-building-robust-architectures-in-high-stakes-financial-systems) - [Tokenization of Everything: Where the Real World Meets Blockchain](https://www.wearedevelopers.com/videos/1035-tokenization-of-everything-where-the-real-world-meets-blockchain) - [Turning Container security up to 11 with Capabilities](https://www.wearedevelopers.com/videos/718-turning-container-security-up-to-11-with-capabilities) - [Microservices architecture as a key element in building trading systems for global finance markets](https://www.wearedevelopers.com/videos/1196-microservices-architecture-as-a-key-element-in-building-trading-systems-for-global-finance-markets) - [No Keys for the Robot: GitOps as the Control Plane for Autonomous Agents](https://www.wearedevelopers.com/videos/100095-no-keys-for-the-robot-gitops-as-the-control-plane-for-autonomous-agents) - [Run on Bitcoin](https://www.wearedevelopers.com/videos/29-run-on-bitcoin) ## Related Articles - [How We Built a Worry-Free System That Runs for 10+ Years – And What We’d Do Again](https://www.wearedevelopers.com/magazine/751-how-we-built-a-worry-free-system-that-runs-for-10-years-and-what-we-d-do-again) - [The Best Job Search Websites of 2025](https://www.wearedevelopers.com/magazine/368-the-best-job-search-websites-of-2025) - [Data Analyst Salary in Switzerland](https://www.wearedevelopers.com/magazine/276-data-analyst-salary-in-switzerland) - [Welcome to Switzerland](https://www.wearedevelopers.com/magazine/4-welcome-to-switzerland) - [Software Developer Salary in Switzerland [2023]](https://www.wearedevelopers.com/magazine/215-software-developer-salary-in-switzerland-2023) - [Data Analyst Salary in the UK](https://www.wearedevelopers.com/magazine/278-data-analyst-salary-in-the-uk)