Director Head Of Global Control Room And Compliance Surveillance

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Director, Head of Global Control Room and Compliance Surveillance
The candidate will maintain all organizational and professional ethical standards and has latitude for independent judgment and decision-making. Oversight of the Global Control Room responsibilities, which includes: monitoring and controlling the flow of material non-public information throughout the organization, determining associate (public, private) side designations, facilitating associate personal account disclosures and attestations, facilitating preclearance of personal transactions, providing guidance regarding physical and electronic segregation and procedural information barrier advice, conducting wall crossings, maintaining the firm’s watch and restricted lists, implementing restrictions on sales, trading and research restrictions and personal account dealing as appropriate, performing research clearance, and trade surveillance. Oversight of monitoring electronic communications records and voice recording (as applicable) for the Interest Rate, Foreign Exchange Commodities derivatives trading groups and the institutional broker dealers. Oversight of monitoring trade surveillance for Interest Rate, Foreign Exchange Commodities derivatives, and equity trading teams. Manage and continually improve the programs, conduct reviews, operating procedures and establish & monitor controls for surveillance. Define business requirements for technology implementation (new capabilities, vendor services). Work with technology groups to implement and test technology solutions to meet business requirements, as defined by Risk partners. Establish data quality control and operations. Oversee and manage the onboarding and offboarding process of technology platforms. Review records handling first level review and escalation of unresolved issues to Desk Heads and Compliance. Oversight of permitted communications between public and private side associates including investment banking, research and institutional sales, which includes the chaperoning of permissible communications. Provide subject matter expertise, advice and guidance on issues, rules and regulations applicable to information barriers, investment banking and capital markets activity, research independence, disclosure of interest and conflicts of interest. Manage the maintenance of policies, procedures and guidance designed to document, operating procedures and to support compliance with applicable regulatory obligations, corporate requirements and industry best practices. Assist the team in identifying and escalating issues through formal escalation channels, and facilitating timely and effective resolution. Perform periodic quality assurance of subordinate review. Produce routine metrics for management reporting. Independently manage routine internal audits and regulatory inquiries and examination requests and responses. Independently manage projects necessary to support initiatives both within the Compliance Department and across the firm globally. Bachelor’s Degree or Military Experience is required. Master’s Degree or Juris Doctor from an accredited university is preferred. Should have 5+ years of full-time relatable experience in compliance, legal, audit, project management, finance or regulatory experience in the financial services industry. Should have 3+ years of experience as a people manager. Should preferably have 10+ years of full-time relatable experience in compliance, legal, audit, project management, finance or regulatory experience in the financial services industry. Should preferably have 5+ years of experience as a people manager. Series 7, Series 9/10 or 24 (or the ability to obtain within 12 months of hire) is required.

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