Sr Compliance Analyst, Market Surveillance

The primary responsibilities of a Sr Compliance Analyst in Market Surveillance at OKX include testing and fine-tuning surveillance system parameters, evaluating market abuse risks, collaborating with vendors for system optimization, and conducting thorough market surveillance to identify and report insider trading and market manipulation activities.

To qualify for the Sr Compliance Analyst position in Market Surveillance at OKX, candidates typically need at least 4 years of direct experience in market surveillance or trade surveillance, a strong understanding of trading mechanisms, as well as education in a related technical field. Familiarity with trade surveillance tools and AML compliance training is also advantageous.

OKX is committed to employee growth and development, offering various learning and development programs, educational subsidies, and team-building opportunities, helping Sr Compliance Analysts in Market Surveillance advance their skills and knowledge in this fast-evolving field.

A Sr Compliance Analyst in Market Surveillance at OKX should possess strong analytical skills, allowing them to effectively leverage data sets and conduct both quantitative and qualitative analysis to enhance investigations and decision-making related to market surveillance.

The salary range for a Sr Compliance Analyst in Market Surveillance at OKX is between $92,426 to $126,713, depending on various factors such as experience, job-related skills, and market location, in addition to performance bonuses and benefits.

Certainly! When answering this question, focus on describing specific trade surveillance platforms you have worked with, detailing your involvement in investigations, alert optimizations, and any improvements you contributed to the detection logic.

To effectively evaluate market abuse risks, discuss your methodology, such as conducting thorough market research, analyzing historical data, and collaborating with cross-functional teams to ensure adequate surveillance coverage is in place for new products.

When addressing this question, mention various tactics like spoofing, layering, and wash trading, giving brief explanations of how each tactic works and possibly describing cases where you identified such activities in your previous roles.

For this question, share a specific scenario that showcases your collaboration skills, explaining how you communicated effectively between teams and the successful outcome that was achieved through this teamwork.

Highlight your commitment to continuous learning by mentioning sources you follow, such as regulatory bodies, industry news, webinars, or professional organizations, and how you integrate this knowledge into your daily work.

Discuss specific tools or technologies you have used or are familiar with, emphasizing their features that aid in trade surveillance, data analysis, or reporting, and how they've helped in your previous roles.

Outline a clear process for handling potential insider trading cases, which may include documenting findings, escalating the situation to compliance officers, and coordinating investigations while ensuring adherence to regulations.

Share a detailed example that includes the context of the investigation, your role in it, the steps you took, and the outcome. This demonstrates your analytical skills and ability to manage compliance matters effectively.

Discuss your strategies for prioritization, such as assessing the urgency and impact of tasks, using tools for task management, and ensuring clear communication with stakeholders about timelines and expectations.

Explain that market surveillance is vital for maintaining market integrity, preventing fraud, and promoting investor confidence, and cite examples of how effective surveillance can protect financial markets and institutions.