A global investment bank are looking to recruit a Global Head of Surveillance Oversight
The Global Head of Surveillance Oversight is accountable for providing independent
second line oversight of the firms global Surveillance framework,
supporting the effective governance and management of Market Abuse risks across
all markets, products and regions.
Sitting within 2LoD Conduct & Compliance, the role sets oversight expectations for
Surveillance, supports ownership of the Group Market Conduct Policy as it relates to
Surveillance, and provides credible challenge to first line activity. The role acts as the
firm’s senior 2LoD authority on Surveillance matters, applying sound regulatory
judgement and influencing outcomes across the business.
What you’ll be doing:
- Lead independent second line oversight of the global Surveillance framework, ensuring it remains effective, proportionate and aligned with regulatory requirements across all regions and asset classes.
- Own and maintain the Market Conduct Policy and associated standards as they apply to Surveillance, ensuring continued alignment with supervisory expectations, regulatory change and evolving business activity.
- Oversee Surveillance performance through senior governance forums, including review of management information, thematic outcomes, assurance results and progress in addressing identified risks.
- Act as the senior 2LoD point for Surveillance related matters, applying regulatory judgement to alert outcomes, near misses and STOR submissions and supporting appropriate governance outcomes.
- Provide strategic oversight of Surveillance coverage across trading activity and communications, ensuring monitoring remains appropriate as products, markets and technologies evolve.
- Design and lead Compliance Assurance and independent testing over Surveillance controls, assessing design and operating effectiveness and driving clear, riskbased improvements.
- Advise senior management and committees on emerging regulatory developments and Market Abuse risks, while building strong relationships across Compliance, Risk, Technology and Front Office teams to support
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