Global Head of Surveillance Quality Assurance

Global Head of Surveillance Quality Assurance

About the Company

Premier investment bank

Industry

Investment Banking

Type

Privately Held

About the Role

The Company is seeking a Global Head of Surveillance Quality Assurance to lead the assessment and enhancement of its surveillance quality assurance function. The successful candidate will be responsible for evaluating the design and operational effectiveness of existing processes, alert review standards, and technology infrastructure. This role involves implementing improvements to optimize the efficiency and accuracy of analyst alert reviews, conducting regular reviews of various surveillance alerts, and providing feedback to enhance the quality of alert reviews and dispositions. The Global Head will also be tasked with documenting review findings, partnering with data quants and technology teams to refine alert selection, and identifying opportunities for automation and system improvements. Applicants for the Global Head of Surveillance Quality Assurance position at the company should have a strong background in surveillance, compliance, or a related field within the financial services industry. The role requires expertise in areas such as FX, fixed income, commodities, exchange-traded products, and electronic communications surveillance. The ideal candidate will have experience in process enhancement and risk identification and the ability to work with advanced methodologies like NLP and statistical sampling. A key aspect of the role is the collaboration with surveillance leadership, advisory compliance, and technology teams to drive enhancements in surveillance review quality and methodology. A proactive approach to problem-solving, excellent communication skills, and the ability to work in a dynamic, fast-paced environment are essential.

Travel Percent

Less than 10%

Functions

• Finance