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# Vice President, Trading Surveillance Compliance

- **Company:** MOOMOO LLC
- **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:** October 16, 2026
- **Apply:** https://www.thejobnetwork.com/job/65100682-d971-46f6-bf4b-6e6ccdaca8b9/vice-president-trading-surveillance-compliance

## 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.