Senior Surveillance Analyst

About the role

tastytrade, a FINRA‑regulated broker‑dealer, is seeking a Senior Surveillance Analyst to design, operate and continuously improve its cross‑asset trade surveillance and AML transaction‑monitoring program. The role blends the creation of detection logic, day‑to‑day alert investigation, cryptocurrency monitoring and regulatory reporting.

Key responsibilities

• Design, build and test surveillance scenarios across equities, options, futures, crypto and prediction markets to detect manipulative trading patterns.
• Tune thresholds and models, document methodology and validate coverage under FINRA and NFA rules.
• Conduct first‑ and second‑level reviews of alerts and customer escalations, investigating potential violations of FINRA, SEC, NFA and CFTC regulations.
• Monitor cryptocurrency transactions and blockchain activity using analytical software to satisfy KYT requirements.
• Draft, review and file Suspicious Activity Reports (SARs) in line with BSA/AML obligations and maintain related documentation.
• Report suspicious activity to regulators or law‑enforcement agencies and respond to FINRA, SEC and CFTC/NFA examinations.
• Collaborate with Compliance, Legal, Operations and Technology teams to gather evidence and define new surveillance requirements.

Required profile

• Extensive experience in trade surveillance, market‑abuse detection and AML monitoring.
• Strong knowledge of FINRA Rule 3110, SEC, NFA Compliance Rules, CFTC regulations and BSA/AML frameworks.
• Proven ability to investigate complex alerts, prepare regulatory filings and work cross‑functionally.
• Excellent analytical and documentation skills.

Required skills

• Blockchain analytics tools

What we offer

• Competitive salary range of $101,000‑$120,000 USD.
• Opportunity to shape a cutting‑edge surveillance program in a fast‑growing fintech firm.
• Collaborative environment with compliance, legal and technology experts.