E-Communications Surveillance Leader
6 days ago
Job Overview
We are seeking an experienced E-Communications Surveillance Leader to join our team. As a key member of our compliance operations group, you will be responsible for setting up and running a dedicated E-Communications and Surveillance (Market Abuse) Compliance program.
The successful candidate will support the legal entity and segment CCO's, building a program to enhance our existing model and working closely with Investigative Services, Distribution Compliance, and the Compliance Testing Team.
Key Responsibilities
- Establish and maintain a strong understanding of regulatory requirements and industry trends in surveillance / Market Abuse.
- Develop and manage a high-performing global team focused on E-Communications and Surveillance.
- Support the design, implementation, and operation of key controls relating to communications and surveillance.
- Analyze electronic communication-based alerts to detect and prevent market or firm damaging misconduct.
- Detect any violations of policy / regulatory requirements and provide recommendations for improvement.
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