Managing Director, Head of Compliance, Trade Surveillance and Communications

About the Company

Prestigious broker dealer

Industry Insurance

Type Privately Held

About the Role

The Company is seeking an MD, Head of Compliance, Trade Surveillance, and Communications to lead a team of compliance professionals in overseeing, reviewing, and enhancing the surveillance program for market abuse and electronic communications. The successful candidate will be responsible for assisting with regulatory inquiries, executing mandates in line with global compliance department standards, and leading global quarterly meetings to discuss key risks and trends. Additionally, the role involves maintaining and designing supervisory reviews, leading the regional implementation of global surveillance strategies, and actively managing communication and trade surveillance systems to ensure a robust and effective program.

Applicants for this role at The Company should have a strong background in compliance, particularly in the areas of market abuse, disorderly trading, and insider dealing. The position requires the ability to lead a team, collaborate with business groups, and participate in industry events focused on surveillance. The ideal candidate will have experience in creating and managing surveillance policies and procedures, as well as a proven track record in driving surveillance enhancements. A strategic focus, the ability to manage change, and a deep understanding of regulatory requirements are essential. The role demands a proactive approach to compliance and the ability to ensure that the program is well-documented and evidenced.

Travel Percent Less than 10%

Functions

Business Development Finance Strategy