THE SKILLS YOU BRING

• A Bachelor’s degree (or higher) in Economics, Finance, or a related field, with a career emphasis within compliance in a brokerage/financial services environment
• You have your Series 7 and/or 24
• Good understanding of compliance rules and regulations
• Solid knowledge of financial markets, trading products, and market regulations.
• Hands-on experience with leading trade surveillance systems (e.g. Nasdaq SMARTS, S3), trading platforms, and data analysis techniques
• Experience managing projects related to system implementation or process re-engineering

ABOUT THE ROLE & TEAM

Here at Webull our Compliance team is dedicated to upholding the highest standards of regulatory compliance and ethical conduct. Our team plays a critical role in ensuring that Webull operates within the bounds of applicable laws and regulations while maintaining the trust and confidence of our customers.
The Associate Director of Trade Surveillance is a key leadership role within the Compliance department, responsible for overseeing the firm’s efforts to detect and prevent market abuse, insider trading, and other trading-related misconduct. Reporting to our Director/Head of AML and Trade Surveillance, this individual will manage the enhancement of the firm’s surveillance systems and conduct complex investigations into potentially manipulative or illicit trading activities across various asset classes.

IN THIS ROLE, YOU WILL

• Oversee the daily monitoring, review, and disposition of alerts generated by the firm’s automated trade surveillance systems (e.g., SMARTS, Trillium, or proprietary systems).
• Lead and conduct in-depth, complex investigations into potential violations of market regulations and firm policies, including market manipulation, insider trading, and front-running.
• Prepare detailed and well-documented investigation reports for senior management, Legal, and regulatory bodies.
• Ensure timely and effective escalation of significant issues to the Head of Trade Surveillance and other senior stakeholders.
• Partner with Technology and Data teams to manage and enhance the trade surveillance platform.
• Drive the process for tuning existing surveillance models and developing new scenarios to address emerging risks and regulatory changes.
• Stay abreast of industry trends and emerging technologies (e.g., AI/Machine Learning) to continuously improve the effectiveness and efficiency of the surveillance program.
• Maintain expert-level knowledge of relevant rules and regulations (e.g., SEC, FINRA, NASDAQ,NFA) and their application to the firm’s business.
• Assist in developing, drafting, and updating the firm’s trade surveillance policies and procedures.
• Provide advisory support to the business on trading-related compliance matters.