Head of Market Integrity and Surveillance, Internal Audit

OKX•New York, NY

27d

About The Position

The Head of Market Integrity and Surveillance Compliance (Internal Audit) will manage the internal audit activities for OKX's Markets Compliance function. This role ensures that the organization's risk management and market integrity frameworks are robust, effective, and aligned with regulatory expectations. With a deep understanding of market surveillance and trading compliance, the successful candidate will play a key role in safeguarding market transparency and OKX users. The function is responsible for ensuring that the exchange’s trading operations, market conduct, and related customer interactions comply with applicable digital asset, securities, commodities, and market integrity laws globally.

Requirements

Experience: Strong experience (8+ years) in internal audit or compliance surveillance, including leadership roles at a leading global financial institution, fintech, or Big 4 firm . Experience in crypto, digital assets, or blockchain is a plus.
Market Integrity Expertise:
Practical knowledge of market abuse surveillance systems and controls (e.g., insider trading, spoofing/layering detection).
Understanding of market structure across spot and derivatives markets, including order books, matching engines, and liquidity provision.
Experience with best execution frameworks, trade reporting, and post-trade transparency obligations.
Regulatory Knowledge: Industry experience with core global regulatory requirements for trading & markets (SEC, CFTC, FINRA, OFAC, MiFID II).
Technical Skills: Proficiency in using audit and data analysis tools (Workiva is a plus); familiarity with data analytics is highly desirable.
Soft Skills: Exceptional ability to articulate complex ideas to diverse audiences, including regulators and senior leadership. Proven ability to work in a global context.
Education: Bachelor's degree in Accounting, Finance, Business Administration, or related field. Law degree or equivalent preferred.

Nice To Haves

Required: ACAMS.
Preferred: CPA, CIA, or similar credentials.
Plus: Advanced certifications such as CFA or CISA.

Responsibilities

Strategic Leadership & Methodology
Act as a subject matter expert for Market Integrity and Surveillance, providing strategic insights and guidance.
Develop and implement audit testing plans specifically designed for Market Integrity and Trading Compliance.
Advise senior management on risks related to market manipulation, control gaps, and regulatory trends.
Collaborate across compliance, risk, product, and data science to continuously improve data and reporting capabilities.
Audit Execution: Surveillance & Conduct
Lead audits covering market conduct, trade surveillance, and best execution frameworks.
Assess the effectiveness of surveillance systems designed to detect market abuse (e.g., insider trading, spoofing, layering, wash trading).
Leverage data sets and analytical skills to enhance audit activities, ensuring quantitative analysis is incorporated into decision-making.
Validate the remediation of compliance issues to ensure continuous improvement of controls.
Stakeholder & Regulatory Engagement
Build strong relationships with Compliance, Risk Management, Legal, and external regulators.
Participate in governance forums, presenting audit findings related to market integrity and financial crime risks.
Ensure the audit approach aligns with core global regulatory requirements (e.g., SEC, CFTC, FINRA, MiFID II/MiFIR, MAR).
Reporting & Team Management
Foster a culture of collaboration and excellence within the global audit team.
Prepare and deliver comprehensive audit reports to senior management and the Audit Committee.