US Head of Surveillance

Job description

The US Head of Surveillance will be responsible for managing the overall Market Abuse Surveillance program within Global Banking & Markets and Wealth Management in the US. The program consists of trading, electronic communications and voice surveillance activities.
 
Leadership & Teamwork:
Provides day to day line management, direction and support of each of the teams within the US Surveillance program (Institutional and Retail business lines).
 
Operational Effectiveness & Control:
Acts as a Market Abuse Surveillance SME (across multiple product classes) and can speak confidently and accurately to this with external regulators and internal auditors.
 
Major Challenges:
Ensure that the US Surveillance program is developed and enhanced extensively across multiple business lines, products, scenarios, trading systems, forms of communications and regulations (including Dodd Frank / Volcker).
Ensure that the US Surveillance program implements appropriate controls when regulatory guidance is issued, or trigger events occur
Managing multiple teams with differing objectives / timelines
The US Head of Surveillance will be responsible for managing the overall Market Abuse Surveillance program within Global Banking & Markets and Wealth Management in the US. The program consists of trading, electronic communications and voice surveillance activities.
 
Leadership & Teamwork:
Provides day to day line management, direction and support of each of the teams within the US Surveillance program (Institutional and Retail business lines).
 
Operational Effectiveness & Control:
Acts as a Market Abuse Surveillance SME (across multiple product classes) and can speak confidently and accurately to this with external regulators and internal auditors.
 
Major Challenges:
Ensure that the US Surveillance program is developed and enhanced extensively across multiple business lines, products, scenarios, trading systems, forms of communications and regulations (including Dodd Frank / Volcker).
Ensure that the US Surveillance program implements appropriate controls when regulatory guidance is issued, or trigger events occur
Managing multiple teams with differing objectives / timelines.
　

Desired profile

Strong background in compliance within a financial services environment and be able to understand, interpret and apply complex regulatory requirements to business practices.
Minimum 10 years proven audit, compliance, financial services and/or regulatory experience, or equivalent.
Well-developed managerial, communications, negotiation, analytical, interpersonal, organizational, project management and strategic and/or operational planning skills.
Minimum of a Bachelor’s degree in business, related field or equivalent experience; Master’s degree and/or Juris Doctorate (JD) preferred.
Ability to meet deadlines.
Proactive and independent.
Proficiency with personal computers and software packages including Microsoft Excel, Word, and PowerPoint.
 
EEO/AA/Minorities/Women/Disability/Veterans