Head of Compliance, Trade Surveillance and Communications

Head of Compliance, Trade Surveillance and Communications

About the Company

Premier broker dealer

Industry

Insurance

Type

Privately Held

About the Role

The Company is seeking a Head of Compliance for Trade Surveillance and Communications. The successful candidate will be responsible for leading a team of compliance professionals in the oversight, review, and enhancement of the surveillance program, particularly in the areas of market abuse and electronic communications. This role involves assisting with regulatory inquiries, executing compliance mandates, and leading global and regional compliance meetings to discuss key risks and trends. The Head of Compliance will also be instrumental in maintaining and designing supervisory reviews, as well as leading the implementation of global strategies for the development and enhancement of surveillance platforms. Applicants for the Head of Compliance position at the company should have a strong background in compliance, with a focus on trade surveillance and communications. The role requires the ability to create a strategic focus and actively manage systems, policies, and procedures to ensure a robust and effective program. The ideal candidate will have experience in coordinating with business teams to assess and enhance surveillance capabilities, as well as participating in industry events and forums. A key aspect of the role is the documentation and enhancement of policies and procedures, so attention to detail and a thorough understanding of compliance requirements are essential. The Head of Compliance will also be expected to have a proactive approach to managing and mitigating compliance risks.

Travel Percent

Less than 10%

Functions

• General Management
• Operations
• Strategy