What is the opportunity?
As Director, you lead a global team responsible for the development, enhancement and maintenance of communications surveillance applications and platforms. You drive strategy across Capital Markets Surveillance initiatives, including driving an evaluation and assessment of surveillance controls against relevant in-scope risks. As Director, you continuously evaluate applicable risks and effectiveness of controls in order to maintain a best-in-class surveillance platform.
Please note that the Director can be located in Toronto or New Jersey.
What will you do?
- Drive the global strategy and roadmap for the for the development, enhancement and implementation of the communications surveillance platform
- Coordinate and lead regional teams to define the business and technology requirements for the communications surveillance program centrally including, technology selection, surveillance development etc.
- Own and maintain the operating model for communications surveillance design and development
- Contributes to the global training requirements for surveillance
- Oversee and lead activities related to the global risk assessment framework specific to surveillance
- Identify areas of improvement based on the risk assessment findings and other key inputs
- Lead and collaborate with regional surveillance teams to periodically assess lexicons and alerting policies to drive enhancements
- Lead and participate in management updates, executive reporting and presentations and project statuses
- Provide input guidance into policies and procedures relating to electronic communications records retention requirements and video collaboration tools
- Participate and represent Compliance Surveillance in various forums relating to the assessment and onboarding of new communications applications and mediums
What do you need to succeed?
- Extensive senior level trade surveillance experience supporting institutional sales and trading businesses (10+ years minimum)
- Strong subject matter expertise on market abuse and strong technical knowledge of capital markets regulatory requirements
- Deep experience with communications surveillance platforms and partnering with Technology to innovate and implement new capabilities
- Strong experience leading global teams across multiple regions, large and complex initiatives
- Experience and communication skills necessary to interact regularly with senior executives within Compliance and the business
- Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators
What's in it for you?
We thrive on the challenge to be our best, progressive thinking to keep growing, and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.
- A comprehensive Total Rewards Program including bonuses and flexible benefits, competitive compensation, commissions, and stock where applicable
- Leaders who support your development through coaching and managing opportunities
- Ability to make a difference and lasting impact
- Work in an agile, collaborative, progressive, and high-performing team
- The opportunity to interface with senior level executives from many different parts of the organization
Address: 155 Wellington St. W.
Work Hours/Week: 37.5
Work Environment: Office
Employment Type: Permanent
Career Level: Senior Manager/Director
Pay Type: Salary
- Variable Bonus
Position Level: PL06
Required Travel(%): 0
People Manager: Yes
Application Deadline: 09/18/2021
Req ID: 407156