Senior Manager, Investment Compliance Monitoring

Hiring, Senior Manager, Investment Compliance Monitoring with below skills and expertise.

You must have hands on experience in Trade Surveillance and Ecomm Surveillance along with people management.

• Preferably 10+ years of experience in a Compliance or assurance-type role within the financial services industry.
• Firm understanding of concepts and practices relating to monitoring and surveillance.
• Strong analytical skills and experience performing thematic reviews or audits would be beneficial.
• Excellent written and verbal communication skills.
• Proven ability to coordinate and work with teammates and stakeholders across multiple locations.
• Strong organizational skills, capacity to work under pressure & remain motivated while completing routine tasks.

Key Responsibilities:

• Provide oversight and guidance to members of the Investment Compliance Surveillance and Monitoring teams.
• Aid in the development and maintenance of the annual monitoring plan by reviewing global regulatory risk assessments and engaging with key stakeholders for review prioritisation.
• Conduct reviews of research-related products and deliverables to ensure compliance with internal guidelines and external regulations.
• Lead the development of dashboards, management reports, and papers for governance committees.
• Lead the implementation of the delivery roadmap for new surveillance systems and establish/expand existing market abuse controls.
• Handle investigations and escalations related to reviews performed by compliance team members on market abuse monitoring tools and employee communications on platforms such as email, Bloomberg, Zoom, Voice, or Teams. Assist in creation/update of policies & procedures, keeping abreast of regulatory changes and their impact.
• Ensure market abuse and communications monitoring tools are appropriately calibrated.
• Maintain day-to-day relationships with vendors of compliance monitoring tools.
• Ensure governance processes are implemented and followed for all supported activities, including SLAs, SOWs, timeliness, daily checklists, and monthly metrics reporting.
• Build and retain a high-performing team, including acquiring the right talent, providing training, career development, performance management, and succession planning.