Gresham Hunt has been engaged by a major UK banking group to appoint a Global Head of Surveillance Oversight. This is a senior second line role within Compliance, accountable for independent oversight of the group's global surveillance framework and the management of market abuse risk across all markets, products and regions.
You will act as the senior second line authority on surveillance, owning the policy framework, providing credible challenge to first line and shaping a global oversight capability.
The role:
- Lead independent second line oversight of the global surveillance framework across trading activity and communications, ensuring it remains effective, proportionate and aligned with regulatory requirements.
- Own the Market Conduct Policy and associated standards as they relate to surveillance, keeping them aligned with supervisory expectations and regulatory change.
- Apply regulatory judgement to alert outcomes, near misses and STOR decisions, and support appropriate governance outcomes.
- Design and lead the compliance assurance programme over surveillance controls, testing design and operating effectiveness and driving risk-based improvements.
- Present management information, thematic findings and assurance results to senior governance forums and committees.
- Advise senior management on emerging regulatory developments and market abuse risks, working closely with Compliance, Risk, Technology and Front Office.
Experience required:
- At least 8 years of experience overseeing surveillance or comparable monitoring frameworks within a global markets or investment banking environment.
- Deep expertise in market abuse and UK MAR, with a track record of second line oversight, assurance and issue management.
- Experience owning or overseeing global policies and standards.
- Comfortable engaging at executive and committee level, balancing independence with constructive challenge.
- Building or enhancing a surveillance oversight framework
- STOR governance and regulatory engagement
- Have worked alongside surveillance technology or model governance teams.
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Global Head of Surveillance Oversight - 2nd LoD Compliance - Banking employer: Gresham Hunt
Join a dynamic financial services firm that prioritises employee development and fosters a collaborative work culture. As a Senior Manager in Internal Audit, you will benefit from comprehensive training programmes, mentorship opportunities, and a supportive environment that encourages innovation and professional growth. Located in a vibrant city, the company offers a competitive benefits package and a commitment to work-life balance, making it an excellent choice for those seeking a meaningful career in audit.
