About the Role The incumbent will be a core member of the Compliance Advisory team with two primary responsibilities: (1) providing compliance advice, oversight, and challenge to business teams, and (2) leading and overseeing the Compliance Surveillance team. This role is essential for upholding fair and orderly markets and acts as an independent partner to the First Line of Defense, supporting the ongoing enhancement and framework of the Second Line of Defense to foster a solid culture of compliance. The position has a global focus, requiring collaboration with country Compliance teams to provide advice and manage surveillance controls in international locations.
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Key Accountabilities
Compliance Advisory
- Trusted adviser and compliance subject matter expert for Global Markets and Global Corporate Finance, providing advice, oversight, and challenge to support the business areas in managing compliance risks.
- Provide product and location-specific regulatory and compliance policy guidance.
- Advise on regulatory, compliance policy, and other aspects related to business strategy and new business products or initiatives, developing solutions that meet internal and external requirements.
- Act as the Compliance point of contact for other compliance issues including financial crime risks, employee compliance controls, and conflicts of interest.
- Support the business in fostering a cooperative relationship with regulatory authorities and exchanges. Assist during regulatory requests for information, reviews, and examinations, and help formulate management action plans in response to regulatory findings.
Surveillance
- Lead and implement the tactical and strategic intent for Compliance Surveillance, evolving the surveillance control environment and exploring rollouts to other business areas and locations.
- Ensure day-to-day surveillance activities are executed per agreed protocols, achieving key performance indicators.
- Take an entrepreneurial approach to enhance surveillance to global best practice levels via vendor collaboration and technology improvements, optimizing alerts and forms of automated oversight.
- Govern and oversee surveillance controls, ensuring they are fit for purpose, and build strong relationships with key stakeholders for effective trade alert oversight. Collaborate with vendors to maintain and enhance tools, metrics, and alerts within the surveillance framework.
- Document surveillance reviews, investigations, and activities in line with guidelines and perform quality assurance on reviews conducted by team members.
- Provide advice and training on key surveillance themes and play a significant role in projects and initiatives impacting surveillance, including expansions to other relevant business areas.
General Responsibilities
- Represent Compliance in governance meetings and relevant operational forums.
- Manage issues by identifying, escalating, and ensuring timely closure of compliance or operational issues.
- Engage in regulatory changes and projects relevant to the business.
- Work with Regulatory Compliance and other stakeholders to develop policies and procedures.
- Oversee the execution of the Annual Compliance Plan for all business areas.
- Conduct an annual compliance risk assessment to identify key risks and assess control effectiveness, developing a plan for testing or targeted reviews.
- Conduct planned and ad hoc reviews to ensure effective control environments.
- Design and deliver training to promote compliance with applicable laws, regulations, and policies.
- Oversee management information and reporting processes, as well as the maintenance of procedures and service level agreements.
- Partner with colleagues in international areas and lead in finding solutions to risks, issues, and breaches. Support Senior Management in the escalation and investigation of potential breaches of law, regulation, or policy.
- Collaborate with Global Internal Audit to support reviews and ensure timely closure of any management action plans.
People Management
- Lead and develop a team of AVPs and Specialists, supporting their personal development and departmental nationalization targets.
- Provide training, support, and mentoring to direct reports while leading by example to build an inclusive work environment that reflects the vision and values of the organization.
Qualifications & Experience
Minimum Qualifications
- Bachelor’s degree or higher in management, banking, finance, or a relevant field, ideally with compliance certification.
Minimum Experience
- At least 10 years' experience in financial services compliance, with a minimum of 6 years in Compliance Surveillance/Monitoring roles.
- Extensive experience with market abuse rules, regulations, and cases; good understanding of automated surveillance tools.
- International mindset with knowledge of international laws, regulations, and rules affecting Global Markets, Corporate Finance, and Investment Banking.
- Understanding of products and services across Sales, Trading, and Investment Banking.
- Strong interpersonal and people management skills, complemented by good leadership capabilities.
- Experience in project and program management, with excellent analytical and communication skills for delivering messages to Senior Management.
- Detail-oriented and competent in driving tasks to completion, often at pace.
