Lead, Trade & Market Surveillance

| Greater NYC Area
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The Department: Compliance

Compliance at Gemini is a team dedicated to managing the next generation of financial crime in a complex and evolving regulatory environment. We are a diverse group of technology, legal, and operational professionals who develop new approaches to solving classic problems using cutting edge tools and processes.

 

The Role: Trade & Market Surveillance Manager

Gemini’s Compliance team is looking for a Trade & Market Surveillance Lead to facilitate the monitoring and flagging possible violations of Gemini Trust Company exchange rules and applicable regulations. The role will be a hands-on member of, as well as provide guidance and direction to, the Trade & Market Surveillance team, who is responsible for investigating the output from trade practice and market surveillance systems, as well as ongoing and active involvement in tuning and enhancement of these systems.

 

Responsibilities:

  • Setting the strategic vision for the Trade & Market Surveillance team as Gemini expands its geographical footprint and product offering to new digital asset classes
  • Conducting the daily surveillance of trading activity on the Gemini exchange through internal and 3rd party surveillance systems designed to stop malicious and manipulative trading behavior, ensure a healthy and fair market for participants, and meet regulatory obligations & Gemini’s internal policies.
  • Resolving alerts appropriately and promptly, documenting results clearly and escalating and following through on possible trade practice violations. 
  • Assisting with the design and deployment of new controls, in addition to the enhancement and calibration of existing controls
  • Conducting ad hoc trading reviews to support inquiries from Customer Support, Legal and other Compliance teams. 
  • Identifying potential enhancements to surveillance logic, reports, and workflow through data analysis
  • Conducting monitoring and auditing of employee trading activity to confirm compliance with Gemini’s employee personal trading policy

 

 Minimum Qualifications: 

  • Bachelor’s degree or equivalent
  • Prior experience in hiring and managing a team of analysts
  • At least 3 years of trade/market surveillance experience within the Compliance function at an exchange, broker/dealer or other financial institution 
  • Hands-on, operational experience in investigating price and order manipulation schemes, such as spoofing, layering & wash trading. 
  • Strong experience using third party trade surveillance tools (e.g., SMARTS, Actimize, Mantas, Eventus)
  • Working knowledge of rules and regulations regarding spot and derivatives trading
  • Excellent communication skills: able to communicate complex scenarios and concepts clearly, concisely and effectively, both in person and in writing, to senior stakeholders.

 Preferred Qualifications

  • Working knowledge of scripting & querying languages (e.g., Python, SQL) for data processing and aggregation
  • Familiarity with visualization tools (Tableau, Looker, Spotfire) to create metrics and dashboards
  • Familiarity with digital assets


Our Commitment to Diversity & Inclusion

Building the Future of Money is a global mission that promises to transform lives across borders, societies, and cultures. At Gemini, we know that our success is impossible without diverse teams who represent our end users, so we are committed to equal employment opportunity regardless of race, color, ancestry, religion, sex, national origin, sexual orientation, age, citizenship, marital status, disability, gender identity, or Veteran status. Equal Opportunity is the Law, and Gemini is proud to be an equal opportunity workplace and affirmative action employer. If you have a disability or special need that requires accommodation, please let a member of the People Team know!

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Location

New York, NY 10010

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