The Compliance Team seeks a detail-oriented and motivated Surveillance Associate to be responsible for conducting daily trade surveillance reviews for the Firm’s active trader client base. This role focuses on detecting, reviewing and escalating potential market manipulation and abusive trading activity using Nasdaq Trade Surveillance (NTS) with primary coverage of equities and listed options. The position requires strong analytical judgment and experience reviewing complex trading strategies and order placement patterns typical of active retail trading. This role offers exposure to complex trading behavior, evolving surveillance scenarios, and opportunities to expand responsibility over time.

Review order lifecycle data (order entry, modification, cancellation and execution) to assess intent and impact

Analyze activity to identify potential manipulation and abusive practices such as spoofing, layering, momentum ignition, wash trading, marking the open/close and pre-arranged trades.

Perform cross-product surveillance across equities and listed options.

Independently review and disposition NTS alerts through trade reconstruction, order book analysis and market context review.

Document findings clearly and concisely in surveillance case management systems

Escalate potential to senior surveillance personnel with clear supporting analysis

Assist in preparing case summaries for month Trade Surveillance Committee meetings

Provide feedback to senior team members on alert performance, false positives and recurring patterns observed in NTS.

Identify surveillance caps or emerging risks associated with new products, order types or customer trading behavior

Experience and Skills:

3-5 years of hands-on experience using NTS in a broker-dealer or exchange environment

Associate - Trade Surveillance

Responsibilities

Qualification

Required

Benefits

Company

Clearstreet

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