Trade Surveillance Analyst

DriveWealth•New York, NY

4d•$200,000 - $225,000•Hybrid

About The Position

DriveWealth is seeking an experienced Trade Surveillance Analyst to monitor trading activity across equities, options, and ETFs for potential violations of securities laws and firm policy. This role involves reviewing alerts, conducting investigations, and producing written dispositions. The analyst will also contribute to the calibration of surveillance scenarios, track regulatory developments, and support the Compliance team in responding to inquiries from regulatory bodies. The position requires a deep understanding of market structure and the ability to analyze complex trading data within DriveWealth's unique B2B and fractional share environment. The ideal candidate will treat AI as a collaborator, possess strong conceptual data fluency, and have a genuine curiosity about how markets work.

Requirements

Hands-on trade and market surveillance experience at a FINRA-registered broker-dealer, exchange, or SRO.
Experience investigating alerts and making defensible dispositions.
AI Fluency: Understanding of AI models and ability to leverage AI for drafting, summarizing, and iterating, while recognizing its limitations as a final source of truth.
Conceptual Data Fluency: Understanding of data tables, record relationships, and query structuring.
Genuine interest in market structure and dynamics (venues, liquidity, order flow, price formation).

Nice To Haves

Stronger SQL or Python skills.
Cloud analytics experience (Databricks/Spark).
Statistical analysis methods.
Hands-on time with surveillance platforms such as Nasdaq SMARTS, NICE Actimize, or Eventus.
Prior exposure to regulatory inquiries, exams, or RFI responses.
Series 7/24 or equivalent (sponsorship available).

Responsibilities

Investigate alerts and exception reports across a wide range of typologies (spoofing, wash trades, marking the close, momentum ignition, layering, and more) to determine the actual root cause.
Reconstruct market context around flagged activity, assessing price impact and intent to manipulate.
Leverage AI assistants to draft and refine SQL and Python analysis, summarize datasets, and produce first-draft narratives, critically validating all AI outputs.
Contribute to scenario and threshold tuning for surveillance detection, identifying noise and mis-set thresholds.
Support responses to inquiries from FINRA, the SEC, and exchanges, as well as wholesaler and market-maker RFIs.
Apply surveillance judgment across fractional share activity, options flow, and multi-partner order routing, considering the structural features of DriveWealth's platform.
Write clear, evidence-cited disposition narratives and escalation memos, ensuring work product withstands regulatory scrutiny.
Query and explore trade and order data using SQL in a Databricks environment.