Job Description

Overview

Head of Monitoring & Surveillance Americas seeking a compliance leader to oversee electronic and voice communications, trade surveillance, and data loss prevention programs for a major financial services firm. This role manages policies, controls, and monitoring activities, partners with business leadership, and serves as a key liaison with U.S. regulators.

Key Responsibilities

• Lead surveillance programs and escalation processes, ensuring regulatory compliance.
• Oversee monitoring routines, reporting, and technology solutions.
• Direct a team focused on risk identification, escalation, and resolution.
• Collaborate with IT, business, and compliance teams to enhance surveillance and controls.
• Report KRIs and KPIs to senior compliance leadership.

Qualifications

• 12+ years in financial services compliance, surveillance, or controls.
• Series 7, 24, and NFA Swaps Proficiency (or ability to obtain).
• Strong knowledge of U.S. Swap Dealer regulations (CFTC/NFA).
• Leadership experience managing compliance teams and programs.
• Familiarity with surveillance tools (e.g., SHIELD) and fixed income/swap products.

Seniority level

• Director

Employment type

• Full-time

Job function

• Finance

Base pay range

$170,000.00/yr - $200,000.00/yr

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