Who we are looking forThe Global Head of Market Surveillance Compliance is a senior leadership role responsible for designing, overseeing, and continuously enhancing the firm's global market surveillance compliance framework across trade and electronic communications surveillance. This role provides strategic direction, independent oversight, and governance to ensure the surveillance program is robust, risk-based, technology-enabled, and aligned with applicable regulatory expectations across jurisdictions. The role partners closely with Compliance, Legal, Risk, Front Office, Operations, and Technology stakeholders to identify emerging risks, assess surveillance effectiveness, drive program enhancements, and support a strong culture of compliance and market integrity.
What you will be responsible forAs Global Head of Market Surveillance Compliance you will
- Lead the global market surveillance compliance program, including trade surveillance and electronic communications surveillance, across relevant business lines, products, and jurisdictions.
- Manage day-to-day operations of market surveillance team across trade and communications surveillance
- Oversee alert review, investigation, escalation, documentation, and thematic analysis processes to ensure consistency, quality, and defensible regulatory outcomes.
- Establish and maintain a comprehensive surveillance governance framework, including policies, procedures, standards, escalation protocols, quality assurance, and management reporting.
- Drive the strategic development and ongoing enhancement of surveillance controls, scenarios, lexicons, models, and workflows to address market abuse, misconduct, and emerging regulatory risks.
- Coordinate with project managers to deliver requirements for surveillance tools and enhancements
- Provide independent oversight and challenge of first-line activities, ensuring surveillance coverage remains aligned to the firm's business model, trading activity, and regulatory obligations.
- Partner with Technology, Data, and Operations teams to improve surveillance platforms, data quality, model performance, workflow automation, and management information capabilities as well as to ensure success of long-term strategic vision for surveillance initiatives
- Create, test and develop innovative monitoring methods that improve surveillance efforts and align with regulatory expectations
- Develop and deliver meaningful and accurate metrics, dashboards, and executive reporting on surveillance risks, trends, issues, remediation activities, and program effectiveness.
- Monitor regulatory developments, enforcement trends, and industry practices across key jurisdictions, and translate them into actionable program enhancements and policy updates.
- Lead responses to regulatory inquiries, examinations, audits, and internal reviews related to market surveillance compliance.
- Promote a culture of compliance, accountability, and continuous improvement through leadership, training, communication, and stakeholder engagement.
- Ensure continued alignment with corporate regulatory goals and other ongoing initiatives
- Manage annual budget and staffing plan
Leadership and Governance ResponsibilitiesThis role leads a global team of surveillance compliance professionals and is accountable for setting strategy, establishing priorities, and ensuring consistent execution across regions. The Global Head is expected to build strong partnerships with senior business and control function leaders, influence strategic decisions, and provide credible challenge where needed. The role also requires stewardship of governance forums, ownership of surveillance-related policies and standards, and oversight of remediation initiatives arising from regulatory change, control testing, audit findings, or program reviews.
Education & Preferred Qualifications- Extensive experience in market surveillance, compliance, risk management, analytics, or a related control function within a global financial institution.
- Strong understanding of surveillance methodologies, scenario design, model calibration, alert governance, investigation practices, and data quality considerations.
- Experience with analytic technologies related to data mining and evaluation of trade and communication data
- Deep knowledge of market abuse, conduct risk, trade surveillance, and communications surveillance regulatory expectations across major jurisdictions.
- Strong understanding of current regulatory concerns in the FX/Swap Dealer, Broker Dealer spaces, and knowledgeable of financial markets; preference to a background in FX
- Demonstrated experience leading global teams and managing complex regulatory or transformation initiatives.
- Proven ability to engage effectively with regulators, senior executives, auditors, and cross-functional stakeholders.
- Strong knowledge of financial markets, trading products, business conduct risks, and associated control environments.
- Excellent written and verbal communication skills, with the ability to synthesize complex issues for senior management and governance audiences.
- Bachelor's degree required; advanced degree, legal qualification, or relevant professional certification preferred.
- 10+ years related experience (Surveillance, or business-line compliance, risk or control functions)
- Familiarity with surveillance tools such as Bloomberg Vault, Global Relay, Smarsh, Scila, Trading Technologies, NICE or other surveillance platforms
Core Competences - Strategic leadership and sound judgment
- Comfort in advanced technologies including AI and analytics
- Regulatory and compliance expertise
- Risk assessment and control design
- Program governance and execution discipline
- Stakeholder management and influence
- Analytical thinking and problem solving
- Change leadership and continuous improvement
- Executive presence and communication
Preferred Qualifications- Experience building or enhancing enterprise surveillance programs in a complex, global organization; familiarity with surveillance technology platforms, data governance, and model risk considerations; and experience supporting multi-jurisdictional regulatory engagements are strongly preferred.
- Experience across multiple asset classes and both transaction and communication monitoring environments is highly desirable.
Salary Range: $170,000 - $267,500 Annual
The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.
Employees are eligible to participate in State Street's comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.
For a full overview, visit https://hrportal.ehr.com/statestreet/Home.
