Compliance Manager - Trade and Communication Surveillance Job at Wells Fargo (Hyderabad)

Trade Compliance Manager

Reporting directly to Sr. Compliance Manager, FERC, CFTC, & Trade Surveillance, ...

Location

USA , Andover

Salary:

119196.00 - 163895.00 USD / Year

Enel

Expiration Date

July 24, 2026

Requirements

Bachelor’s degree in a relevant field
Prior experience in an energy trading environment with a working knowledge of multiple markets and related market abuse provisions and ISOs rules
Proven deep know how of market abuse discipline
Proven track record in developing and maintaining a leading compliance program
Demonstrated knowledge of ISO and Federal rules and regulations (FERC and EIA), including financial regulation (CFTC, Dodd-Frank, etc.)
Experience in managing ISO market compliance aspects of a trading portfolio
Understanding of the components of an effective, industry leading compliance program
Ability to lead cross-departmental initiatives and projects
Ability to translate regulatory and legal requirements into business processes and policies
Highly developed written communication skills

Job Responsibility

Support and assist the Sr. Compliance Manager, FERC, CFTC, & Trade Surveillance to oversee trade surveillance in all areas of the Enel Trading North America
Ensure regulatory compliance with all applicable laws, including the requirements of various CFTC-Dodd Frank, US exchange and FERC Anti-Manipulation, ISO Market regulations
Escalate applicable trade surveillance alerts to the Director, Market & ISO Compliance and Trade Surveillance committee
Manage and develop staff overseeing daily market alerts produced by trading surveillance systems
Manage trading activity monitoring across all energy markets, including electricity, natural gas, and emissions
Conduct surveillance analyses to identify potential market manipulation or insider trading activity
Advise trading desks and other business units on compliance matters
Collaborate with internal and external stakeholders, including but not limited to regulators, exchanges, EGP Operations & Management, and Control and Monitoring Room
Oversee the validity and distribution of the Trade Surveillance quarterly report
Providing real time compliance advice to Front Office

What we offer

Affordable, quality healthcare for you and your family
Life insurance and disability benefits
Retirement benefits
Flexible spending accounts
Tuition reimbursement and professional development allowance
401k with match fully vested as of day one (Enel-NA matches 100% of the first 4% that you contribute up to set IRS limits)
Generous PTO including: 4 weeks annually of vacation as well as personal days, volunteer days, your birthday off, paid holidays, and sick time
Paid leave programs
The opportunity to grow and develop your career with the support and mentorship of senior leaders
The opportunity to work for one of the world’s most recognizable and respected brands in the energy industry

Fulltime

Head of Trade Surveillance and Best Execution

Come join a cross-functional team dedicated to protecting clients and the firm b...

Location

United States , Chicago

Salary:

170000.00 - 190000.00 USD / Year

tastytrade

Expiration Date

Until further notice

Requirements

Bachelor's degree in Economics, Business, Finance, Accounting, or related field (or equivalent work experience)
FINRA Series 4,7,24, and 63 (or equivalents)
7-10 years of experience in broker-dealer trade surveillance, best execution, trading operations, or trade compliance
Strong working knowledge of FINRA Rules 5310 and 3110, SEC execution and reporting rules, and broker-dealer supervisory frameworks
Experience with trade surveillance and reporting platforms and OMS/EMS systems, plus strong data skills using tools such as Tableau and SQL or similar analytics
Experience with managing relationships with market managers and counterparties
Ability to interpret complex trading and venue data, communicate findings clearly in writing and verbally, and influence stakeholders across trading, operations, risk, legal, and compliance
High integrity, attention to detail, and a control mindset, with comfort working in a fast-paced, regulated trading environment and managing competing priorities

Job Responsibility

Lead the best execution program while continuously improving the firm's trade surveillance and best execution frameworks, policies, and procedures including venue analysis, routing reviews, and regular execution quality assessments and reports under FINRA Rule 5310
Manage trade management operations across the trade lifecycle (capture, allocation, corrections, breaks), ensuring accurate and timely processing and recordkeeping
Leveraging automated surveillance systems, data analytics, and emerging technologies to monitor and analyze trading activity more effectively including tuning alert logic, managing surveillance platforms, and working closely with engineering
Own trade-and execution-related regulatory reporting (e.g., CAT/CAIS, FINRA trade reporting facilities, and, where applicable, Rules 605/606 disclosures)
Coordinating across compliance, legal, and trading desks and reporting to senior management and regulators, while managing a Market Structure and Order Routing Specialist
Ensuring the firm's written supervisory procedures (WSPs) reflect current regulatory expectations and actual practice
Maintain and enhance written supervisory procedures, management reports, and committee materials that document reviews, decisions, and remediation
Partner on projects and system changes involving OMS/EMS, surveillance platforms, and data feeds, including testing, calibration, and control design

What we offer

Performance Bonuses
Stock Purchase Options
401k Plan
Medical/Dental/Vision Benefits
20 Paid Vacation Days (plus an additional paid vacation day the month of your birthday)
10 Paid Sick Days
Gym Membership Reimbursement
Commuter Benefits
Pet Insurance
Wellness & Mental Health Programs

Fulltime

Director, Senior Compliance Officer

CTC invites applications for a Director - Senior Compliance Officer role. Candid...

Location

United States , Chicago

Salary:

175000.00 - 220000.00 USD / Year

Chicago Trading Company

Expiration Date

Until further notice

Requirements

Bachelor’s degree required, a Law degree is a plus
At least 10 years of experience in a compliance function that directly supports a professional trading business, or at least 4 years in a compliance function that supports a professional trading business and 6 additional years in non-compliance roles in financial services
Ability to manage and prioritize multiple ongoing projects in a fast-paced, high-performing trading environment
Ability to regularly assess the efficiency of control systems and recommend effective improvements
Demonstrate a high level of integrity
Proactive approach to help identify regulatory risk for the firm
Ability to operate effectively in a team environment
Solid knowledge of electronic trading, emphasizing listed options and futures
Extensive knowledge of SEC, FINRA, CFTC and SRO rules and regulations
Establish strong working relationships with exchanges, regulators and vendors

Job Responsibility

Develop, refine, and apply proprietary and external surveillance rules on a variety of topics, including market maker quote compliance, market abuse, and off-channel electronic communications monitoring
Supervise Compliance staff responsible for reviewing, dispositioning, and advancing surveillance alerts
Draft and update compliance written supervisory procedures, including desktop procedures for Compliance staff
Assist the Chief Compliance Officer with designing, documenting, and completing internal control testing plans and collaborate with firm stakeholders to address gaps identified
Coordinate and prepare responses to formal investigations and other regulatory inquiries from various U.S. and European regulators, including exchanges, SEC, and FINRA
Assist with the management and coordination of regulatory exams and audits
Monitor and evaluate the firm’s trade activity using an internal surveillance system that generates reports covering aspects such as market maker obligations and market manipulation
Review and summarize proposed regulatory rules for applicability
Provide regulatory advice on new business initiatives
Facilitate rule interpretation, continuing education and best business practices through training and issuance of compliance memos

What we offer

Generous time off
Insurance coverage
Paid parental leave
Free breakfast and lunch
Healthy snacks
Wellness reimbursement

Fulltime

Market Surveillance Analyst

Join us as a Market Surveillance at Barclays, where you'll spearhead the evoluti...

Location

India , Pune

Salary:

Not provided

Barclays

Expiration Date

Until further notice

Requirements

Stakeholder Management
Decision Making & Problem Solving
Strong Communication Skills
Good Analytical Experience
Good Understanding in Surveillance
Strong understanding of Fixed Income/Trade Surveillance

Job Responsibility

Monitoring market activities continuously, including order flows, prices, trading volumes and communications to identify potential irregularities or market misconduct
Conducting in-depth investigations to gather evidence and assess the risk of market manipulation, insider trading, or other misconduct
Business support in projects related to the firm’s market surveillance framework
Regulatory query and internal/external audit support
Provision of accurate and timely reports to regulatory authorities, internal stakeholders, and management regarding market surveillance activities, incidents, and trends
Execution of appropriate controls aligned to the Barclays control framework and related firm-wide standards
Control environment support in relation to data quality, model effectiveness and efficiency

Fulltime

Compliance Senior Analyst

We’re looking for a Compliance Senior Analyst to join our Compliance Surveillanc...

Location

United Kingdom , London

Salary:

Not provided

LegalAndGeneral

Expiration Date

Until further notice

Requirements

Experience in a financial services Compliance, surveillance, or regulatory oversight role
Strong analytical capabilities with the ability to interpret data and identify emerging risks
Understanding of regulatory requirements within the asset management sector
Knowledge of trading, financial instruments or the investment decision‑making process
Experience using surveillance or analytical tools (e.g., trade/communications surveillance software, Bloomberg, Tableau, SQL or Python)
Ability to work proactively with business stakeholders to meet regulatory requirements
High attention to detail, strong organisational skills and the ability to meet deadlines
A collaborative and curious mindset, with the confidence to challenge constructively and promote good conduct and Compliance culture

Job Responsibility

Delivering high‑quality, risk‑based Compliance surveillance across Market Conduct, Customer Outcomes and Communications Oversight
Leading and contributing to the development, calibration and automation of surveillance tests
Taking ownership of allocated business areas and representing Compliance in relevant meetings
Identifying regulatory issues and risks while conducting trend analysis and escalating findings promptly
Producing clear, concise management information to support governance forums and decision‑making
Maintaining and developing knowledge of relevant regulation and supporting business areas to adapt to new requirements
Assisting with data collation and analysis for regulatory requests and internal investigations
Collaborating effectively with wider Compliance and Risk colleagues, sharing insights and supporting training initiatives

What we offer

The opportunity to participate in our annual, performance -related bonus plan and valuable share schemes
Generous pension contribution
Life assurance
Healthcare Plan (permanent employees only)
At least 25 days holiday, plus public holidays, 26 days after 2 years’ service. There’s also the option to buy and sell holiday
Competitive family leave
Participate in our electric car scheme, which offers employees the option to hire a brand-new electric car through tax efficient salary sacrifice (permanent employees only)
There are the many discounts we offer – both for our own products and at a range of high street stores and online

Fulltime

Macro Markets Compliance Officer

Are you seeking a team where your contributions truly matter? Do you want to hel...

Location

United Kingdom , London

Salary:

Not provided

Optiver

Expiration Date

Until further notice

Requirements

Bachelor’s degree or equivalent qualifications
Experience in working in a Compliance advisory role supporting trading and institutional sales activities
Strong understanding of market conduct, market abuse, and regulatory risk across traditional financial markets, such as FX, Metals, and Commodities
Hands-on experience advising on or supporting digital assets trading activities, including familiarity with applicable regulatory frameworks (e.g. UK, US and EU) and market structure
Comfortable operating across both traditional finance and digital assets, applying consistent conduct and risk principles across different market structures
Strong analytical skills with excellent attention to detail and sound judgment
Ability to provide clear, pragmatic advice to trading, technology and operations teams
Proactive, collaborative, and results-driven, with strong communication and stakeholder management skills

Job Responsibility

Lead day-to-day Compliance advisory coverage for digital assets trading, ensuring alignment with global regulatory regimes
Provide advisory across macro trading activities (OTC FX, OTC Metals and Commodities), working closely with front-office teams on conduct, market integrity, and regulatory risk
Advise on new products, venues, tools, trading strategies, and counterparties across digital assets and traditional macro markets, delivering pragmatic, commercially aware guidance
Support the digital assets compliance program, market conduct, and financial crime frameworks, ensuring alignment with the macro-Compliance program
Cover AML/CTF considerations, including transaction monitoring, sanctions, counterparty and jurisdictional risk assessments, and blockchain analytics where appropriate
Conduct or support investigations involving digital asset and macro trading activity, using both on-chain and traditional investigative techniques
Support the refinement of market abuse and communications surveillance frameworks across digital asset markets and macro products
Monitor global regulatory developments across digital assets and macro markets, assess their potential impact on the firm, and contribute to horizon scanning and risk assessments
Support regulatory interactions, examinations, and information requests related to digital assets and macro trading activities
Provide advisory to institutional sales (macro and digital assets sales), focusing on conduct, communications, conflicts of interest, and information handling

What we offer

A performance-based bonus structure, enabling all of our employees to benefit from our global profit pool
27 paid vacation days plus all UK public holidays
Daily breakfast and lunch, along with support on commuting expenses
Private medical insurance, pension scheme, and ClassPass fitness membership
Training and continuous learning opportunities, including access to conferences and tech events
International transfer opportunities for global career growth

Senior Compliance Advisor

The Senior Compliance Advisor will be responsible for providing a range of suppo...

Location

United States , Boston

Salary:

85000.00 - 171000.00 USD / Year

Fidelity Investments

Expiration Date

Until further notice

Requirements

Subject matter expertise in one or more of the following areas: equity and options trade reporting platforms or operational trade support
An in-depth understanding of the securities markets and associated regulations
Strong written and oral communication skills
Ability to proactively identify core regulatory and compliance issues in a fluid trading environment
Effective relationship building skills
Interpersonal skills with an ability to partner, interact, collaborate, build trust, problem solve, and seek to influence staff from all levels of the organization
Accountability and ownership of issues and initiatives, with an ability to independently exercise good judgment and see projects through to completion
Ability to thrive in a fast-paced environment while managing multiple priorities
Intellectual curiosity and sharp investigative skills, as well as strong analytical and problem-solving skills
College degree required, business major preferred

Job Responsibility

Provide advisory support to FCM Equity and Options trading desks and supporting operations
Develop and maintain written supervisory procedures, compliance policies and other documentation
Implement necessary Compliance changes due to new or amended regulatory requirements applicable to product areas
Support the introduction of new products and service initiatives by providing advice and developing the appropriate Compliance requirements, supervisory infrastructure and control framework
Design and deliver targeted training to business personnel
Assist regulatory inquiries/exam staff in responding to relevant regulatory matters
Remain abreast of emerging regulatory issues that may impact Fidelity by analyzing relevant enforcement matters, subscribing to key industry periodicals and being an active participant in industry groups such as SIFMA, FIF, and ICI
Partner with compliance colleagues and business partners on regulatory matters and surveillance issues.

What we offer

Comprehensive health care coverage and emotional well-being support
Market-leading retirement
Generous paid time off and parental leave
Charitable giving employee match program
Educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career.

Fulltime

Rates Business Controls Unit

Deutsche Bank's Rates business leads with scale and strength in providing soluti...

Location

United States , New York

Salary:

170000.00 - 200000.00 USD / Year

The Muse

Expiration Date

Until further notice

Requirements

Investment Banking experience, preferably within Front Office and with exposure Compliance, Non-Financial Risk, and Audit functions
prior experience to enable effective liaison with Trading and supporting functions to plan and co-ordinate across multiple stakeholders
Solid experience engaging with third parties on audits, self-identification of key risks and issues, formulating action plans, ability to remediate audit findings independently
Specific knowledge of non-financial risks associated with fixed income are preferred
Sound understanding of the investment banking environment and industry initiatives, particularly around regulation
Deep understanding of risks and controls over front to back trading processes, day 1 P&L, book ownership, book access and trade life cycle of fixed income products
Understanding of market conduct controls including UPTA controls, trade & communication surveillance output etc

Job Responsibility

Liaison for Audit, Compliance and Regulatory reviews including coordination of meetings and delivery of audit finding closure materials and self-identification of issues
Evaluating business MI, making independent decisions, implementing changes to ensure compliance with regulatory requirements and policies
Building and maintaining strong partnerships with stakeholders across Trading, Sales & Structuring and Infrastructure and play a key controls advisory role with Trading
Oversee business control environment and execute non-financial risk (NFR) frameworks across US and Global Rates, including running key Rates governance forums
Shape, develop and implement Rates governance and controls including identifying and understanding control gaps and developing and executing remediation plans

What we offer

A diverse and inclusive environment that embraces change, innovation, and collaboration
A hybrid working model, allowing for in-office / work from home flexibility, generous vacation, personal and volunteer days
Employee Resource Groups support an inclusive workplace for everyone and promote community engagement
Competitive compensation packages including health and wellbeing benefits, retirement savings plans, parental leave, and family building benefits
Educational resources, matching gift, and volunteer programs
Health and wellness benefits
Parental benefits
Work flexibility
Office life and perks
Vacation and time off

Fulltime

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Compliance Manager - Trade and Communication Surveillance

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