Global Head of Market Surveillance Compliance, Managing Director
Core
Design, oversee, and enhance the firm's global market surveillance compliance framework for trade and electronic communications surveillance to ensure regulatory alignment and risk mitigation.
Role type
Senior leadership (Managing Director) in market surveillance compliance
Builds
Global surveillance program, governance frameworks, and regulatory reporting
Domain
Financial services, market surveillance, regulatory compliance
Deliverable
dashboards & analysis
Required skills
Market surveillance strategy, regulatory expectations (market abuse/conduct risk), team leadership, stakeholder engagement, budget management, risk assessment, policy development, audit response, data quality oversight
Preferred skills
FX/Swap Dealer background, advanced analytics, model calibration, transformation initiatives
Technologies
Trade surveillance tools, electronic communications monitoring platforms, data mining technologies
Responsibilities
Lead global market surveillance program and team; oversee alert review, investigation, and escalation processes; establish governance frameworks and policies; drive strategic enhancements to surveillance controls and models; partner with Technology and Data teams on platform improvements; develop executive reporting and metrics; monitor regulatory developments and lead responses to inquiries/audits; manage annual budget and staffing plan.
Seniority
Senior, strategy & mentorship