An exciting opportunity has arisen for a highly experienced Compliance leader join out client in a newly created role, building a team focussed on oversight of the Surveillance function.
Sitting in the second line of defence this role is responsible for providing independent oversight of the global surveillance function, ensuring the effective identification, monitoring and governance of market abuse risks across products, asset classes and jurisdictions.
As the senior second line authority for surveillance oversight, key to this role is the ability to establish and maintain oversight standards, provide robust challenge to first line activities, and ensure the group's surveillance arrangements continue to meet evolving regulatory expectations and business requirements. You will play a critical role in influencing strategic outcomes, supporting effective governance, and promoting a strong culture of market conduct across the organisation.
Key Responsibilities
- Provide independent second line oversight of the Group's global surveillance framework, ensuring ongoing effectiveness, proportionality and alignment with regulatory requirements across all relevant markets and jurisdictions.
- Evaluate the adequacy of Surveillance coverage across trading activity and communications monitoring, ensuring controls remain appropriate as products, technologies and market structures evolve.
- Oversee the management of key Surveillance risks and themes, ensuring issues are appropriately identified, escalated and remediated.
Policy & Governance
- Own and maintain the Market Conduct Policy and associated Surveillance standards, ensuring continued alignment with regulatory developments, industry expectations and business strategy.
- Lead second line oversight through governance forums, reviewing management information, thematic findings, assurance outcomes and remediation activity.
- Provide expert regulatory judgement on Surveillance-related matters, including alert outcomes, near misses and Suspicious Transaction and Order Report (STOR) governance.
Assurance & Regulatory Oversight
- Design and lead Compliance Assurance activity and independent testing programmes focused on Surveillance controls and their effectiveness.
- Assess control design and operating effectiveness, identifying opportunities for improvement and driving sustainable risk-based enhancements.
- Support regulatory interactions and provide oversight of actions arising from supervisory reviews, thematic work and industry developments.
Leadership & Stakeholder Management
- Act as a trusted advisor to senior executives, governance committees and risk forums on Market Abuse risks, regulatory change and Surveillance effectiveness.
- Build strong partnerships across Front Office, Risk, Compliance, Technology and Control functions to promote effective risk management and regulatory outcomes.
- Lead and develop a high-performing oversight capability, fostering an environment that encourages challenge, collaboration and continuous improvement.
What We're Looking For
We are seeking a senior Compliance professional with deep expertise in Market Abuse regulation, Surveillance frameworks and second line oversight within a Global Markets or investment banking environment.
You will demonstrate:
- Significant experience providing independent oversight of Surveillance, Market Abuse controls or comparable monitoring frameworks.
- Strong understanding of global regulatory expectations relating to Market Abuse, Surveillance governance and conduct risk management.
- Proven experience designing and delivering assurance reviews, control assessments and governance oversight programmes.
- Experience owning, maintaining or overseeing enterprise-wide policies and regulatory standards.
- Strong executive presence with the ability to influence and challenge senior stakeholders effectively.
- Excellent judgement, resilience and decision-making capability in complex and high-profile regulatory situations.
- A track record of building and leading high-performing teams in regulated environments.
The following experience would be advantageous:
- Establishing, enhancing or scaling global Surveillance Oversight or Market Conduct governance frameworks.
- Direct involvement in STOR governance, Market Abuse investigations or regulatory engagement relating to Surveillance effectiveness.
- Experience working closely with Surveillance technology, data governance or model governance functions.
- Presenting to executive committees, risk forums, boards or regulatory bodies.
- Leading within complex organisations undergoing transformation or growth.
- Demonstrating a robust, evidence-based approach to governance, assurance and regulatory decision-making.
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