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Vice President, Compliance Manager, Trade Surveillance, Portfolio Management & Surveillance Initiatives (New York City)
Vice President, Compliance Manager, Trade Surveillance, Portfolio Management & Surveillance Initiatives (New York City)Confidential • New York City, NY, United States
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Vice President, Compliance Manager, Trade Surveillance, Portfolio Management & Surveillance Initiatives (New York City)

Vice President, Compliance Manager, Trade Surveillance, Portfolio Management & Surveillance Initiatives (New York City)

Confidential • New York City, NY, United States
[job_card.variable_days_ago]
[job_preview.job_type]
  • [job_card.full_time]
[job_card.job_description]

Vice President, Compliance Manager, Trade Surveillance, Portfolio Management & Surveillance Initiatives

About the Company

Nationally acclaimed banking organization

Industry

Banking

Type

Non Profit

Founded

1852

Employees

10,001+

Categories

  • Banking
  • Wealth Management
  • Banking & Mortgages
  • Financial Services
  • Consulting & Professional Services
  • Finance
  • Banking Services
  • Banks and Institutions
  • Canada
  • Ireland
  • Mississauga
  • Mortgages
  • Savings & Investing
  • Credit

Specialties

  • personal & commercial banking
  • brokerage services
  • mutual funds
  • asset management
  • insurance
  • capital markets products & services
  • services bancaires personnels et commerciaux
  • services de courtage
  • fonds communs de placement
  • gestion de placements
  • assurance
  • and et produits et services lis aux marchs de capitaux

    • About the Role

    The Company is seeking a VP Compliance Manager for Trade Surveillance within its Global Compliance Surveillance Department. The successful candidate will be responsible for maintaining and enhancing the comprehensive Trade Surveillance program, ensuring it is in line with global regulatory expectations. This role involves managing large surveillance projects, preparing status reports, and working with key stakeholders to drive strategic initiatives in a complex regulatory environment. The VP Compliance Manager will also be involved in surveillance portfolio management, issues management, and regulatory responses, and will be expected to lead a team of specialists in providing expert advice on regulatory requirements.

    Applicants for this role at The Company should have a JD or MBA degree, with a preference for those holding one of these degrees. A minimum of 10 years' of relevant industry and management experience in surveillance, particularly in trade surveillance at a GSIB, is required. The ideal candidate will have a strong background in compliance, change management, project management, and operations, and possess the leadership qualities necessary to nurture a high-performing team. Key skills include the ability to identify and mitigate regulatory risks, excellent communication, and the capacity to work effectively in a fast-paced, evolving environment. The role demands a strategic thinker with the ability to make sound judgments and a proven track record of delivering on project and departmental issues.

    Hiring Manager Title

    Head of Surveillance Initiatives and Portfolio Management

    Travel Percent

    Less than 10%

    Functions

  • Finance
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