Trade Surveillance Analyst 1 – Financial Crimes

🕒 July 22

🏈 North America – Remote

⏰ Full Time

🟡 Mid-level

🟠 Senior

🚨 AML and Financial Crime

👻 Ghost score 39%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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Alpaca

WebsiteLinkedInAll Job Openings

201 - 500 employees

🔌 API

💳 Fintech

₿ Crypto

API • Fintech • Crypto

Alpaca is a fintech company that provides a comprehensive brokerage and trading platform through a suite of APIs. These APIs enable developers and businesses to integrate algorithmic trading, app development, and embedded investing into their services. Alpaca offers services like trading in US stocks, ETFs, and cryptocurrency with options for local currency transactions. The company is recognized for its cyber security practices and is a member of FINRA and SIPC. Alpaca is ideal for fintech startups, broker-dealers, hedge funds, and other financial services looking to build sophisticated trading applications and platforms with minimal friction through their well-documented Broker API.

📋 Description

• Develop, review, and test trade-surveillance scenarios, alert logic, escalation procedures, and control documentation • Document and distribute procedures and processes to stakeholders, ensuring updates are accounted for at least annually • Monitor trading activity using Surveyor and Alpaca’s internal systems to identify potential market abuse, suspicious trading, unusual order behavior, and other conduct risks • Review and investigate alerts involving spoofing, layering, wash trading, front-running, insider trading, manipulative order activity, information-barrier issues, and other suspicious patterns • Analyze trading activity in the context of market events, client behavior, account activity, transaction patterns, and internal information • Conduct real-time and post-trade reviews to detect anomalies, assess risk, and determine whether escalation is appropriate • Document surveillance reviews, investigative steps, evidence, rationale, conclusions, and recommended next actions • Escalate suspicious or high-risk matters to AML leadership, Compliance, Legal, Risk, and other stakeholders • Coordinate with AML on trading-related investigations and potential suspicious-activity reporting matters • Support KYC/AML and transaction-monitoring processes by identifying financial-crime risk, account misuse, fraud, market manipulation, or suspicious activity • Respond to internal escalations involving trading activity, account behavior, customer activity, or policy violations • Assist with regulatory inquiries, audit requests, internal reviews, and examinations • Partner with Compliance, Legal, Risk, Technology, Operations, and business stakeholders to improve surveillance and investigation workflows • Identify emerging surveillance risks, typologies, control gaps, and program-improvement opportunities • Prepare summaries, metrics, and management reporting on surveillance activity, alert trends, escalations, and investigation outcomes • Maintain knowledge of market-abuse risks, AML red flags, trading behaviors, and applicable regulatory expectations

🎯 Requirements

• 5+ years of experience in Fintech trade surveillance, AML investigations, transaction monitoring, financial-crime compliance, brokerage compliance, market surveillance, risk, investigations, or a related control function • Experience working at a broker-dealer, fintech, trading platform, exchange, introducing broker, clearing firm, market maker, proprietary trading firm, crypto trading or other regulated financial institution • Strong understanding of trading activity, order behavior, market structure, customer activity, and potential indicators of market manipulation or suspicious activity • Familiarity with market-abuse typologies, including spoofing, layering, wash trading, front-running, insider trading, unusual price or volume activity, and manipulative order behavior • Ability to review trading data, identify behavioral patterns, investigate exceptions, and form well-supported conclusions • Experience documenting investigations in a clear, concise, and audit-ready manner • Strong analytical skills, sound judgment, attention to detail, and ability to prioritize multiple reviews or investigations • High integrity, discretion, and ability to handle confidential information appropriately • Strong written and verbal communication skills, including the ability to explain complex trading activity to AML, Compliance, Legal, Risk, Technology, and business stakeholders • Ability to work independently while collaborating across teams in a fast-paced environment • FINRA Series 7 license

🏖️ Benefits

• Competitive Salary & Stock Options • Health Benefits • New Hire Home-Office Setup: One-time USD $500 • Monthly Stipend: USD $150 per month via a Brex Card