The Head of Surveillance will effectively manage a team of compliance professionals responsible for the following:
- Electronic Communication Surveillance
- Transaction Surveillance
- Control Room
- Oversight to these areas will ensure compliance with regulatory requirements as they apply to the Americas Division. Reporting to the Chief Compliance Officer of the Americas Division (CCO), the Head of Surveillance plays a key role in risk identification and mapping; the design and implementation of compliance controls: monitoring and reporting on the effectiveness of the controls; and managing and professional development of the team.
- Oversee the execution of the surveillance monitoring plan, including desk review, thematic review, electronic and manual trade surveillance, monitoring of communications and other forms of manual and electronic monitoring including second-level controls and test checking.
- Oversee investigations related to market incidents and responding to inquiries from regulators as requested.
- Ensure issues arising from surveillance activities are duly memorialized, escalated and remediated.
- Actively manage the Control Room function including, but not limited to deal flow management, watch/restricted list management, information barriers, wall crossings, conflicts of interests, chaperoning, etc.
- Collaborate with overseas offices to drive the Global Surveillance and Global Control Room projects currently in-flight.
- Proactively escalate issues to the CCO.
- Ensure strong communication flows between the compliance team leads and staff.
- Provide technical guidance to the staff.
- Manage ad-hoc projects and investigations as directed by the CCO
- Drive effective remediation of compliance concerns raised by regulators and/or auditors.
- Strong analytical abilities, able to break down complex problems into simple manageable units, develops solutions for each unit, and integrates them back into the whole. Can absorb new concepts quickly and apply then pragmatically.
- Results oriented, sets goals and priorities that maximize the use of resources available to consistently deliver quality results
- Ability to multi-task in a highly demanding environment and the ability reprioritize and shift assignments as necessary.
- Strong interpersonal skills, is self-aware of their own behavior and work style, as well as tolerant of different needs and viewpoints. Demonstrates interest in other’s opinions and shows consideration, concern and respect for other people’s feelings
- Excellent verbal, writing and presentation skills with the ability to interact with stakeholders at all levels within the organization and be able to relay complex technical concept to non-technical audience.
- Outstanding leadership characteristics with the ability to create an inspiring vision, set direction and motivate others to follow that direction to reach that vision.
- Ability to identify and cultivate high quality team members.
- Strong attention to detail.
- High ethical standards, respect for confidentiality and privacy.
- 15+ years experience in financial services, with specific emphasis in securities business is preferred.
- Familiarity with personal trading and e-communications surveillance tools/platforms.
- Internal control assessment/testing experience in a 2nd or 3rd line of defense role is a plus.
- Advanced experience with Microsoft Word, Excel and PowerPoint
- Securities licenses a plus
- Bachelor’s Degree