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Head of Personal Trading Surveillance – Director

  • NYC
  • Full Time

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Global bank located in Midtown Manhattan looking to bring on board a “Head of Personal Trading Surveillance – Director” to join their team. This role is currently in a hybrid schedule (2 days in office).


• Manage both day-to-day and strategic planning for Employee Compliance functions
• Provide reporting to management including Board and Executive Committees
• Create and update dashboards for reviewing key performance indicators. Improve current processes and coordinate organizational procedures for optimized efficiency and productivity
• Set strategic priorities with the Head of Compliance Surveillance to identify areas of focus and identify metrics for evaluating performance of relevant controls
• Serve as manager and mentor, helping to train and develop more junior staff, including performance appraisals and other HR-related activities.
• Oversee daily operations, performing an array of managerial and administrative tasks, including tracking deliverables to internal audit and Monitoring & Testing
• Build and develop relationships with all Compliance employees for increased efficiency and effective responsiveness into existing operations and help to define new operational strategies
• Partner with HR to drive recruiting for full time, intern and contractor positions
• Review and approve department expenses and create and monitor budgets for approval
• Coordinate annual Compliance and Business plans and roadmap with priorities