Head of Monitoring & Surveillance Compliance Officer Job at Hamlyn Williams, New York, NY

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  • Hamlyn Williams
  • New York, NY

Job Description

Overview

Head of Monitoring & Surveillance Americas seeking a compliance leader to oversee electronic and voice communications, trade surveillance, and data loss prevention programs for a major financial services firm. This role manages policies, controls, and monitoring activities, partners with business leadership, and serves as a key liaison with U.S. regulators.

Key Responsibilities
  • Lead surveillance programs and escalation processes, ensuring regulatory compliance.
  • Oversee monitoring routines, reporting, and technology solutions.
  • Direct a team focused on risk identification, escalation, and resolution.
  • Collaborate with IT, business, and compliance teams to enhance surveillance and controls.
  • Report KRIs and KPIs to senior compliance leadership.
Qualifications
  • 12+ years in financial services compliance, surveillance, or controls.
  • Series 7, 24, and NFA Swaps Proficiency (or ability to obtain).
  • Strong knowledge of U.S. Swap Dealer regulations (CFTC/NFA).
  • Leadership experience managing compliance teams and programs.
  • Familiarity with surveillance tools (e.g., SHIELD) and fixed income/swap products.
Seniority level
  • Director
Employment type
  • Full-time
Job function
  • Finance

Base pay range

$170,000.00/yr - $200,000.00/yr

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Job Tags

Full time,

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