As the Head of Surveillance Technology, you will be responsible for overseeing and managing the technological infrastructure supporting our clients trade surveillance program. You will lead a team of talented professionals and collaborate closely with various stakeholders, including compliance officers, traders, and IT personnel, to develop and implement advanced surveillance systems, processes, and controls. Your expertise and leadership will play a pivotal role in safeguarding our firm's reputation and maintaining a robust and compliant trading environment.Key Responsibilities:
Qualifications and Skills:
- Develop and execute the strategic vision for the trade surveillance technology function, aligning it with the overall compliance and risk management objectives of the firm.
- Lead and manage a team of trade surveillance technology professionals, providing guidance, mentorship, and performance evaluations to ensure a high level of productivity and effectiveness.
- Collaborate with compliance officers, traders, and IT teams to identify and implement innovative surveillance technologies, tools, and methodologies to enhance the effectiveness and efficiency of our trade surveillance program.
- Stay abreast of the latest regulatory requirements, market trends, and industry best practices related to trade surveillance technology, and make recommendations for enhancements and improvements accordingly.
- Oversee the development and implementation of surveillance models, algorithms, and analytics to proactively identify and investigate potential instances of market abuse, insider trading, manipulation, and other forms of misconduct.
- Manage relationships with external vendors and consultants, ensuring the selection, integration, and maintenance of surveillance systems and software applications.
- Collaborate with internal audit teams and regulatory bodies during audits and investigations, providing subject matter expertise and support as needed.
- Prepare and present regular reports and updates to senior management, highlighting key findings, trends, and emerging risks identified through trade surveillance activities.
- Foster a culture of compliance and awareness within the organization through training programs, workshops, and effective communication of trade surveillance policies and procedures.
- Continuously evaluate and enhance the trade surveillance technology infrastructure, workflows, and processes to ensure scalability, reliability, and adaptability to changing regulatory requirements and market conditions.
- Bachelor's or Master's degree in computer science, information systems, or a related field. Advanced certifications in compliance or risk management will be a plus.
- Extensive experience (8+ years) in trade surveillance technology within the financial services industry, preferably in investment banking or capital markets.
- Strong knowledge of regulatory requirements such as MiFID II, MAR, and other global regulations governing trade surveillance.
- Proven track record of successfully leading and managing a team, including recruitment, training, and performance management.
- In-depth understanding of trade surveillance technologies, tools, and systems, including experience with vendor selection and implementation.
- Familiarity with big data analytics, machine learning, and artificial intelligence techniques applied to trade surveillance.
- Excellent analytical and problem-solving skills, with the ability to interpret complex data sets and identify patterns or anomalies.
- Strong communication and interpersonal skills, with the ability to effectively engage and collaborate with stakeholders at all levels.
- Proactive mindset, with the ability to work independently and make informed decisions in a fast-paced and dynamic environment.