The Global Compliance Department manages a Firmwide Compliance Risk Management program, including Compliance risks that transcend business lines, legal entities and jurisdictions of operation.
The Americas Surveillance team operates and enhances automated trade surveillance controls designed to detect, investigate and escalate potential market abuse and other misconduct risks across the Firm's institutional securities business.
This role partners closely with global surveillance colleagues and stakeholders across Compliance, Legal, Business Unit Risk, Operations and Technology to support the ongoing development and execution of the surveillance program across products, markets and jurisdictions.
The VP owns surveillance risk across assigned areas, responds to escalations from Level 1 analysts, and supports surveillance coverage across a variety of asset classes. The role requires sound judgment, critical thinking, organizational discipline, and the confidence to challenge front-line reviewers and business stakeholders, as appropriate.
What you'll do in the role:
Own surveillance risk across assigned products, markets and scenarios, exercising sound judgment in the review and escalation of potential market abuse concerns
Act as a senior escalation point for Level 1 analysts, providing guidance, challenge and oversight to support consistent and high-quality alert disposition
Partner closely with Compliance, Legal, Operations, Technology, and Global Financial Crimes stakeholders to assess conduct risk and strengthen controls, spanning across multiple asset classes
Leverage surveillance technology platforms, including NASDAQ SMARTS and TradingHub, to support the effective operation of the program and identify opportunities for enhancement
Assess trading activity and escalation matters to identify potential market abuse concerns, emerging themes and matters requiring further review
Support surveillance coverage across U.S., Canadian and Latin American markets, with attention to regional products, market structures and conduct considerations
Manage multiple workstreams effectively, maintaining organized execution and clear prioritization in a fast-paced and evolving environment
Assist and contribute to issue management, thematic reviews, metrics and ad hoc analysis related to surveillance program performance and emerging risks
Lead / support regulatory inquiries, internal reviews, and audit engagements related to market abuse surveillance
Deliver ad hoc trainings, deep-dive analyses, and presentations to enhance awareness of market abuse risks, communicate emerging themes, and support stakeholder decision-making
Promote a strong risk management culture by challenging business practices where appropriate and reinforcing adherence to regulatory expectations
What you'll bring to the role:
7+ years of relevant experience in trade surveillance, market abuse surveillance, compliance monitoring or a related control function
Solid understanding of market structure and trading across one or more asset classes, with the ability to build credibility across equities, futures, fixed income, commodities and FX
Hands-on experience with surveillance technology platforms such as NASDAQ SMARTS and TradingHub, including scenario design, tuning, and performance assessment
Demonstrates critical thinking, analytical capability and intellectual curiosity to identify trends and synthesize data into actionable insights and thematic conclusions
Ability to work independently, exercise sound judgment and manage competing priorities effectively
Highly organized, with the ability to manage multiple workstreams, maintain strong attention to detail and prioritize effectively
Knowledge of market conduct risk and relevant regulatory expectations, including awareness of differences across U.S., Canadian and Latin American markets
Effective written and verbal communication skills, including the ability to engage with Level 1 analysts, senior stakeholders and business…