Compliance Senior Manager - Communication Surveillance

About the role

The Senior Compliance Manager will lead a team responsible for independent oversight of the firm's global Communications Surveillance Program, ensuring alignment with applicable federal, state, regulatory, legal, regulatory, and internal policy requirements.

Provide effective challenge over the front line's execution of communications surveillance, including lexicons, coverage decisions, escalation practices, and risk acceptance.

Oversee risk-based reviews of communications surveillance governance, procedures, and operating effectiveness, including analyst review quality and issue handling.

Assess surveillance coverage for key conduct risks (e.g., market abuse, misuse of information, supervision gaps, and inappropriate communications) and identify coverage gaps or emerging risks.

Serve as a subject matter expert on communications surveillance regulatory expectations, including voice recording, electronic communications monitoring, supervision, and recordkeeping.

Lead engagement with front-line stakeholders, Legal, Internal Audit, Technology, and senior leadership on communications surveillance risks, issues, and remediation activities.

Drive continuous improvement of the Communications Surveillance Oversight framework, including enhancements to processes, documentation standards, metrics, and management reporting.

Manage complex compliance issues, escalating material risks and deficiencies as appropriate and ensuring timely remediation and clear accountability.

Interpret and apply policies, procedures, and regulatory requirements to communications surveillance oversight activities.

Influence and collaborate across lines of business and support functions to promote consistent, risk-based surveillance practices.

Provide coaching, mentoring, and performance management for direct reports and support ongoing capability building within the team.

Responsibilities

• Lead and develop a team responsible for independent oversight of the firm's global Communications Surveillance Program, ensuring alignment with applicable federal, state, regulatory, legal, regulatory, and internal policy requirements.
• Provide effective challenge over the front line's execution of communications surveillance, including lexicons, coverage decisions, escalation practices, and risk acceptance.
• Oversee risk-based reviews of communications surveillance governance, procedures, and operating effectiveness, including analyst review quality and issue handling.
• Assess surveillance coverage for key conduct risks (e.g., market abuse, misuse of information, supervision gaps, and inappropriate communications) and identify coverage gaps or emerging risks.
• Serve as a subject matter expert on communications surveillance regulatory expectations, including voice recording, electronic communications monitoring, supervision, and recordkeeping.
• Lead engagement with front-line stakeholders, Legal, Internal Audit, Technology, and senior leadership on communications surveillance risks, issues, and remediation activities.
• Drive continuous improvement of the Communications Surveillance Oversight framework, including enhancements to processes, documentation standards, metrics, and management reporting.
• Manage complex compliance issues, escalating material risks and deficiencies as appropriate and ensuring timely remediation and clear accountability.
• Interpret and apply policies, procedures, and regulatory requirements to communications surveillance oversight activities.
• Influence and collaborate across lines of business and support functions to promote consistent, risk-based surveillance practices.
• Provide coaching, mentoring, and performance management for direct reports and support ongoing capability building within the team.

Requirements

• 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education.
• 3+ years of management or leadership experience.

Desired Qualifications

• Strong understanding of communications surveillance concepts, including voice and electronic communications monitoring, supervision, and recordkeeping requirements.
• Experience overseeing or operating communications surveillance platforms and analytics within a large financial institution.
• Knowledge of Corporate and Investment Banking products, market conduct risks, and business communication practices.
• Experience assessing surveillance coverage, alert review quality, and governance frameworks.
• Proven ability to provide independent challenge and engage effectively with senior stakeholders.
• Excellent written and verbal communication skills, with the ability to articulate complex regulatory expectations clearly and concisely.
• Strong analytical, organizational, and problem-solving skills with high attention to detail.
• Demonstrated judgment, professionalism, and ability to manage multiple priorities in a highly regulated environment.
• Experience overseeing or assessing the use of advanced analytics, automation, or artificial intelligence tools within surveillance or compliance programs, including governance, model risk considerations, explain-ability, and regulatory expectations.