Monitoring & Surveillance Compliance Officer (Vice President)

• Review and handle communications alerts and pertinent data to assess potential violations of laws, rules, regulations and the Firm’s policies
• Direct the Monitoring & Surveillance review team, ensuring effective risk identification, escalation, and resolution
• Enhance and deliver surveillance trainings by providing subject matter expertise to the central compliance training team for continuous program development
• Maintain and enhance meaningful management information system and performance metrics to track program effectiveness and escalate key findings as needed
• Assist with system implementations and enhancements, ensuring communications surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices
• Collaborate with IT and Project teams to design, implement, and refine processes and controls supporting communications surveillance
• Prepare and report Key Risk Indications (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends
• Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and other support functions

• Bachelor Degree / BSc Degree or equivalent
• degree in Finance, Business, Technology or related field preferred
• Minimum 5 years of experience in compliance surveillance, electronic communications monitoring, financial services compliance, or related risk functions
• Knowledge of the U.S. Swap Dealer regulatory framework, specifically CFTC and NFA rules and regulations
• Proven leadership experience managing compliance teams and developing surveillance and monitoring programs
• Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks
• Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows
• Experience working with electronic communications surveillance tools (e.g., SHIELD, or similar)
• Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings
• Work well in a team environment displaying leadership qualities
• strong written and oral communication skills
• Expert with Microsoft Excel, Word and PowerPoint
• Working knowledge of all Fixed Income / Swap Products

Advanced degree or relevant certifications preferred