Summary:
The Head of Monitoring and Surveillance Americas will oversee the electronic and voice communications of the Firm’s employees, in addition to trade surveillance review. The Head of Monitoring and Surveillance will also be responsible for managing controls on specified activities as well as overseeing the Firm’s data loss prevention compliance framework. The individual will also be the key partner to GMD and other supporting partners on matters related to monitoring and surveillance activities. The individual will also act as the key liaison with various U.S. regulators on regulatory exams as well as inquiries.
Key Responsibilities:
Management and Reporting:
The Head of Monitoring & Surveillance Americas will report to Global Markets Regulatory Compliance Americas.
Key Internal contacts:
Key External contacts:
The Firm’s regulators, including but not limited to FINRA, SEC, NFA, and CFTC.
Qualifications/Education Required:
Experience Required:
Specialist Training Required:
Competencies Required:
Skills & Knowledge Requirements:
Working knowledge of all Fixed Income / Swap Products
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