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- Tasks: Lead the global market abuse surveillance strategy and oversee risk assessments.
- Company: Join a leading financial services firm shaping compliance and surveillance.
- Benefits: Enjoy competitive salary, remote work options, and professional development opportunities.
- Why this job: Make a real impact in financial compliance while working with diverse teams globally.
- Qualifications: 10+ years in financial services compliance with strong surveillance experience required.
- Other info: Opportunity to collaborate with senior leaders and drive strategic initiatives.
The predicted salary is between 72000 - 108000 £ per year.
The Surveillance Strategy VP will play a pivotal role in shaping the strategic direction and operational effectiveness of the firm’s global market abuse surveillance framework. Working closely with the Group CCO and Global Head of Surveillance, this individual will be responsible for setting strategic priorities, executing global risk assessments, and overseeing the adequacy of surveillance controls across all asset classes and regions. This role involves high-level stakeholder engagement, leadership of both onshore and offshore teams, and end-to-end ownership of risk assessment, audit engagement, and horizon scanning processes. The successful candidate will have proven experience in trade and communications surveillance, excellent analytical and communication skills, and a strong understanding of financial markets and market abuse risks.
Key Responsibilities
- Partner with the Group CCO and Global Head of Surveillance to define and refine the strategic priorities of the global surveillance function.
- Lead the design and execution of global surveillance strategy, including location model, risk appetite articulation, and stakeholder engagement frameworks.
- Drive planning and prioritization of global transformation initiatives across trade and e-communications surveillance.
- Lead the global market abuse risk assessment process to ensure accurate and consistent risk measurement by front office desk heads and compliance risk stewards.
- Oversee annual surveillance threshold calibration and lexicon refinement processes to ensure relevance and alignment to emerging risks.
- Lead horizon scanning activities to identify new and emerging market abuse risks and regulatory developments.
- Act as the primary liaison for Group Internal Audit, providing detailed evidence and documentation on control effectiveness, risk assessments, and surveillance enhancements.
- Collaborate with global business heads to assess market abuse risk related to business growth and innovation.
- Work with the Compliance Technology team to align surveillance control development and implementation with strategic goals.
Skills and Experience Required
Mandatory:
- 10+ years of experience in financial services compliance, with strong exposure to trade and communications surveillance.
- Proven experience in leading surveillance risk assessments and transformation programs.
- Strong knowledge of market abuse risks, controls, and global regulatory expectations.
- Track record of managing diverse teams across multiple geographies, including offshore delivery models.
- Excellent stakeholder management and communication skills, with the ability to influence at senior levels.
- Experience preparing and responding to internal audits and regulatory reviews.
- Strong analytical mindset with the ability to synthesize complex information into actionable strategy.
Desirable:
- Experience in working across investment banking, asset management, or trading environments.
- Familiarity with surveillance technologies and lexicon/threshold optimization techniques.
- Relevant compliance or risk management certifications (e.g. ICA, ACAMS, CISI).
Surveillance Strategy Compliance VP employer: Barclay Simpson
Contact Detail:
Barclay Simpson Recruiting Team
ne@barclaysimpson.com
StudySmarter Expert Advice 🤫
We think this is how you could land Surveillance Strategy Compliance VP
✨Tip Number 1
Network with professionals in the compliance and surveillance sectors. Attend industry conferences or webinars to connect with key players and learn about the latest trends in market abuse surveillance. This can help you gain insights and potentially get referrals.
✨Tip Number 2
Stay updated on regulatory changes and emerging risks in financial markets. Subscribe to relevant newsletters or follow thought leaders on social media to ensure you're well-informed, which will demonstrate your commitment and knowledge during interviews.
✨Tip Number 3
Prepare to discuss your experience with leading teams and managing diverse projects. Be ready to share specific examples of how you've successfully executed risk assessments or transformation initiatives in previous roles, as this will highlight your leadership capabilities.
✨Tip Number 4
Familiarise yourself with the latest surveillance technologies and tools used in the industry. Understanding how these technologies can enhance compliance efforts will set you apart and show that you're proactive about integrating innovative solutions into your strategy.
We think you need these skills to ace Surveillance Strategy Compliance VP
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your 10+ years of experience in financial services compliance, particularly focusing on trade and communications surveillance. Use specific examples that demonstrate your leadership in surveillance risk assessments and transformation programs.
Craft a Compelling Cover Letter: In your cover letter, clearly articulate your understanding of market abuse risks and how your skills align with the strategic priorities of the global surveillance function. Mention your experience in managing diverse teams and your ability to influence stakeholders at senior levels.
Highlight Relevant Skills: Emphasise your analytical mindset and your ability to synthesise complex information into actionable strategies. Include any relevant compliance or risk management certifications you hold, as these will strengthen your application.
Proofread and Edit: Before submitting your application, thoroughly proofread your documents for any grammatical errors or typos. A polished application reflects your attention to detail, which is crucial for a role in compliance.
How to prepare for a job interview at Barclay Simpson
✨Understand the Role Thoroughly
Before the interview, make sure you have a deep understanding of the Surveillance Strategy Compliance VP role. Familiarise yourself with the key responsibilities and required skills, especially around market abuse risks and surveillance frameworks.
✨Prepare for Stakeholder Engagement Questions
Given the high-level stakeholder engagement required, be ready to discuss your experience in managing relationships with senior leaders. Prepare examples that showcase your ability to influence and communicate effectively at all levels.
✨Showcase Your Analytical Skills
The role demands a strong analytical mindset. Be prepared to discuss how you've synthesised complex information into actionable strategies in your previous roles. Use specific examples to illustrate your thought process.
✨Familiarise Yourself with Regulatory Expectations
Since the position involves oversight of compliance with global regulatory expectations, brush up on current regulations related to market abuse. Being able to discuss these confidently will demonstrate your expertise and preparedness for the role.
