Monitoring & Surveillance Compliance Officer (Vice President)

Communications Surveillance Vice President

The Communications Surveillance Vice President will be part of a dynamic team responsible for monitoring electronic and voice communications. The role is crucial in detecting potential market abuse and ensuring compliance with regulatory standards. The Communications Surveillance Vice President will engage with business lines and technology partners, carrying out thorough reviews and ad hoc searches to maintain the integrity of our operations. As part of the Monitoring & Surveillance team, the individual will work closely with various Compliance teams and groups across the Firm, utilizing electronic tools and integrative techniques to detect potential violations.

Key Responsibilities:

• Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm's policies
• Manage full surveillance review, including ensuring effective risk identification, escalation, and resolution.
• Enhance and deliver surveillance trainings by providing subject matter expertise to the central compliance training team for continuous program development.
• Maintain and enhance meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed.
• Assist with system implementations and enhancements, ensuring communications surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices.
• Collaborate with IT and Project teams to design, implement, and refine processes and controls supporting communications surveillance.
• Prepare and report Key Risk Indications (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends.
• Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and other support functions.

Management and Reporting:

The Vice President of Monitoring & Surveillance Americas will report to Head of Monitoring & Surveillance Compliance Officer for Americas.

Key Internal contacts:

• All business units;
• IT Department;
• Legal department;
• Audit department;
• Risk departments; and
• Operations departments.

Key External contacts: The Firm's regulators, including but not limited to FINRA, SEC, NFA, and CFTC.

Salary Range: $135k-$165k