Head of Compliance, Trade Surveillance & Communications

A broker dealer located in Midtown Manhattan looking to bring on board a “Head of Compliance, Trade Surveillance & Communications” to join their team. This role is currently in a hybrid schedule (3 days in office / week).

Responsibilities:

· Lead a team of compliance professionals responsible for overseeing, reviewing and enhancing the surveillance program for the market abuse and electronic communications for their respective regional lines

· Assisting with responses to regulatory inquiries or investigations or consultations regarding market abuse, disorderly trading, insider dealing pertaining to business

· Execute mandate in accordance with Global Compliance Department Mandate and the Regulatory Compliance Management Program

· Lead the global quarterly meetings with all the regional compliance teams by sharing and discussing key risks and trends identified through surveillance.

· Assist in maintaining, designing and creating supervisory reviews to ensure compliance oversight align with business strategies and documenting detailed review procedures using sophisticated surveillance technology.

· Lead the regional implementation of the global strategy and roadmap for the development and enhancement of the surveillance platforms

· Create strategic focus and actively manage Communications and Trade Surveillance systems, policies, and procedures to produce a more effective program on a sustained basis.

· Lead and collaborate with business group teams to periodically assess alerting policies, configurations, lexicons to drive surveillance enhancements.

· Coordinate and participate in vendor/client roundtable forums and industry conferences/events focused on surveillance.

· Lead the documentation and enhancement of policies and procedures to ensure the program is suitably documented and evidenced.