Head Of Global Markets Regulatory Compliance Monitoring And Surveillance

Full Time

International Banking Client

Office Status: Hybrid

Responsibilities

  • In collaboration with stakeholders throughout the organization, responsible for overseeing the ongoing development of the regulatory control framework within the Americas region to help ensure compliance with the relevant regulatory requirements.
  • Oversight of monitoring and surveillance reviews of sales and trading activity, and communications, for possible regulatory or internal policy violations.
  • Maintain and develop procedures for surveillance and monitoring reviews.
  • Identify gaps in surveillance coverage and recommend improvements and enhancements to the overall control framework.
  • Advise Compliance and Business management on the effectiveness of the surveillance program
  • Evaluate processes for key compliance controls and develop strategies to ensure appropriate and effective testing of controls.
  • Recommend and implement enhancements to the Global Markets Regulatory Compliance program.
  • Assist in responding to regulatory inquiries, audits, examinations and investigations.
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