Compliance Manager, Surveillance Programs

Oversee compliance as a Manager specializing in electronic communications surveillance. Ensure regulatory adherence and promote best practices in monitoring within Corporate and Investment Banking sectors.

As the point of contact for e-comm surveillance, you will be responsible for managing monitoring activities to uphold compliance. The role involves designing risk-based ad-hoc monitoring and guiding teams on compliance requirements. You will uphold policies and enhance procedures while collaborating with regulators and internal teams.

Key Responsibilities:

• Manage surveillance programs for electronic communications
• Conduct risk-based monitoring of business activities
• Advise on compliance policies and training
• Collaborate with regulators for inquiries
• Participate in industry committees and forums

Requirements

• 5-10 years of experience in communications surveillance
• Thorough knowledge of the securities industry
• University degree required
• 7+ years in senior compliance positions
• Strong integrity and critical decision-making skills

Elevate compliance standards through strategic monitoring and training within the Electronic Communications sector.

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