Head of Monitoring & Surveillance Compliance Officer Job at Hamlyn Williams, New York, NY

RnYyUVhvcWVmazdVNXg3clBKSDUvQ05zNHc9PQ==
  • Hamlyn Williams
  • New York, NY

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

#J-18808-Ljbffr

Job Tags

Full time,

Similar Jobs

Lions Tigers & Bears

Fundraising Coordinator Job at Lions Tigers & Bears

 ...passionate, hardworking and believes in rolling up our sleeves for a mission that matters. If youre a driven, experienced, and talented fundraiser, ready to make a lasting difference and have fun while doing it, wed love to meet you.The Fundraising Coordinator plays a key... 

Sitter.com

Sitter Wanted - Looking For Windsor Sitter Or Live In Nanny. Job at Sitter.com

Job Overview:Looking for a sitter or live in nanny in the Windsor area for 3 wonderful boys ages 1,2 and 5. I'm a single dad and need help. Duties would include activities, making lunches, bottles, changing diapers, light cleaning, driving my oldest son to and from school... 

Avanos Medical

Distributor Experience Analyst Job at Avanos Medical

 ...Requisition ID:6653\n \n Job Title:Distributor Experience Analyst \n \n Job...  ...find an environment that strives to be independent and different, one that supports and inspires...  ...\n \n Avanos Medical is an equal opportunity employer and all qualified applicants... 

ZUBR FREIGHT LLC

Owner Operator / Cargo Van & Straight Truck Driver (OTR & Local) Job at ZUBR FREIGHT LLC

 ...Promaster, Mercedes Sprinter, Nissan NV, Chevy Express) Small Straight & Large Straight Trucks (GVW up to 25,950 lbs) Choose your way to run local...  ....75 to $3.00 per mile , plus fair pay for detention and driver assist ~ Freedom to Choose Loads: No forced dispatch ... 

Oxford Global Resources

Sales Intern Job at Oxford Global Resources

 ...Sales Intern Date: Sep 23, 2025 Location: Madison, WI, US, 53717 Company: Oxford...  ...various sales approaches and technology phone calls, emails, text, Salesforce CRM, ZoomInfo, and LinkedIn to foster and grow Oxfords...