Director of Surveillance

Contract: 6 months, with potential to become permanent

Seniority: Executive Director / Senior Management

We are supporting a leading global financial institution with the appointment of an experienced Head of Surveillance to lead its Market Abuse Surveillance function on an initial six‑month contract.

This is a senior leadership position requiring a seasoned surveillance professional who can step into an established function, provide immediate leadership to the team and take ownership of a key remediation and transformation programme.

The successful candidate will have extensive experience across trade and communications surveillance, with a strong understanding of market abuse regulation, surveillance frameworks and regulatory expectations within a complex global financial institution.

Key Responsibilities

• Lead and oversee the Trade and Communications Surveillance function, including teams based across multiple locations.
• Take ownership of an ongoing surveillance remediation and enhancement programme.
• Develop and drive the firm's long‑term surveillance strategy across trade and communications.
• Maintain and enhance the Market Abuse Surveillance framework, including Market Abuse Risk Assessments and surveillance coverage.
• Oversee surveillance data strategy, governance, analytics and control effectiveness.
• Manage surveillance escalation processes and investigations into potentially suspicious trading activity.
• Oversee STOR submissions and other relevant regulatory notifications.
• Act as a senior point of contact for regulators and maintain readiness for regulatory reviews and inspections.
• Lead enhancements to surveillance controls, models, systems and alert methodologies.
• Work closely with Compliance, Front Office, Legal, Risk and Technology stakeholders.
• Partner with Technology on surveillance tooling, data quality and the implementation of strategic enhancements.
• Develop the use of data analytics and AI within market abuse surveillance, including appropriate governance and implementation plans.
• Oversee cross‑border surveillance activity and coordinate with regional Compliance teams.
• Manage the integration of surveillance teams, processes and trade/communications surveillance tools across group entities.
• Produce and present surveillance MI, KPIs, risk metrics and control findings to senior management and governance committees.
• Lead regulatory and exchange enquiries, investigations and internal Front Office referrals.
• Oversee third‑party surveillance vendors and outsourced surveillance activities.

Experience Required

We are looking for a highly experienced Market Abuse Surveillance professional who has operated at senior leadership level within investment banking, capital markets or a similarly complex financial institution.

Candidates should demonstrate:

• Extensive experience across trade surveillance and communications surveillance.
• Deep knowledge of market abuse regulation and regulatory expectations across major jurisdictions.
• Experience leading or overseeing a Surveillance function and managing teams.
• Strong understanding of surveillance frameworks, controls, governance and risk assessments.
• Experience managing remediation, transformation or regulatory change programmes within Surveillance.
• Strong knowledge of STORs, regulatory investigations and interactions with regulators.
• Experience working with surveillance technology, data, analytics and model governance.
• The ability to engage confidently with senior management, Front Office, Compliance, Legal, Risk and Technology stakeholders.
• Strong leadership, judgement and organisational skills, with the ability to take ownership of a complex function from day one.

This is an excellent opportunity for an experienced Surveillance leader to take ownership of a strategically important function within a major global financial institution. The initial appointment will be for six months, with the potential for the position to become permanent.

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