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 management.
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
Strategic leadership, market surveillance expertise, regulatory knowledge (market abuse/conduct risk), team management, stakeholder engagement, budget management, risk assessment
Preferred skills
FX/Swap Dealer background, enterprise surveillance program building, multi-jurisdictional regulatory engagement, AI/analytics comfort
Technologies
Bloomberg Vault, Global Relay, Smarsh, Scila, Trading Technologies, NICE
Responsibilities
Lead global market surveillance compliance program; manage day-to-day operations of surveillance team; oversee alert review and investigation processes; establish governance frameworks; drive strategic development of surveillance controls and models; coordinate tool delivery; provide independent oversight; partner with Tech/Data teams; develop executive reporting; monitor regulatory developments; lead regulatory inquiries; promote compliance culture; manage budget and staffing.
Seniority
Senior, hands-on IC with leadership responsibilities