A top‑tier global banking group is seeking a Compliance Monitoring & Surveillance Manager to strengthen its Monitoring, Testing, and Surveillance capabilities across a rapidly evolving Capital Markets franchise. As the bank continues to grow its U.S. and global trading footprint, this is a strategically important hire responsible for building, executing, and enhancing a best‑in‑class program overseeing both conduct and regulatory risks.
You will sit within the Compliance Monitoring & Testing organization and partner closely with Surveillance, first‑line control partners, Trading Management, and senior Compliance leadership. This role blends deep analytical oversight, regulatory expertise, and stakeholder engagement.
This position builds upon core Monitoring responsibilities such as developing the annual program, QA, reporting, and oversight of 1LOD testing-combined with surveillance‑oriented duties like risk‑based assessments, automated review enhancements, trend identification, and conduct‑risk analysis.
Key Responsibilities
Monitoring Program Leadership
• Develop, enhance, and oversee the bank's annual Compliance Monitoring plan, covering front‑office, operational, and regulatory‑reporting controls.
• Perform quality assurance reviews, assess control design and effectiveness, and perform credible challenge across the first line.
• Produce high‑quality monitoring reports for senior stakeholders and governance committees.
• Ensure Monitoring methodologies, procedures, and standards remain aligned with evolving regulatory expectations.
Surveillance Oversight & Execution
• Lead oversight of trade, sales‑practice, personal‑account dealing, electronic communications, conduct‑risk, and market‑abuse surveillance across Capital Markets businesses.
• Enhance surveillance models, alert logic, and exception‑review processes-leveraging automation and data analytics where possible.
• Assess and report on trends, patterns, and potential misconduct identified through surveillance reviews
• Partner with Technology and Surveillance Operations to refine and optimize surveillance tools and systems.
Stakeholder Engagement & Governance
• Collaborate with senior business leaders to educate on emerging risks, monitoring themes, and surveillance insights.
• Oversee remediation and validation of issues identified through Monitoring or Surveillance activities.
• Represent Compliance in cross‑functional risk committees, governance routines, and regulatory reviews.
Program Enhancement
• Drive continuous improvement across Monitoring & Surveillance frameworks-refining sampling techniques, risk taxonomies, and reporting metrics.
• Support integration of new products, desks, or regulatory changes into the surveillance and monitoring perimeter.
• Contribute to testing execution when required
Qualifications
Required:
• 7-10+ years of experience in Compliance Monitoring, Surveillance, Compliance Assurance, Audit, or related control functions within a major bank or broker‑dealer.
• Strong knowledge of regulations governing trading activity (SEC, FINRA, CFTC) and Capital Markets market‑conduct risk.
• Hands‑on experience overseeing or executing surveillance reviews (e.g., trade surveillance, conduct surveillance, personal trading).
• Exceptional analytical skills, including comfort with data interpretation, trend analysis, and escalation logic.
• Strong communication skills and ability to exercise credible challenge with senior stakeholders.
