Manager - Capital Markets Surveillance

About the role

Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive advantage by optimizing “heart of the business” operations. We leverage deep domain expertise to extend enterprise resilience, agility and remediation. Our professionals address client needs which span the organization and impact strategy, operations, performance and reputation.

Responsibilities

• Assist clients with their 1st and 2nd lines of defense supervision and surveillance programs, focusing on risk areas of market abuse and manipulation, information barriers and conflicts of interest.
• Assist in the design, implementation, and management of systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies.
• Engage in the development of client deliverables or internal business needs, leading project teams and junior practitioners.
• Serve as primary client contact or workstream lead on complex projects, liaising with client counterparts and participating in discussions on project management and work delivery needs.
• Lead the development of quality work products throughout the development lifecycle, from initial conception to implementation.
• Provide recommendations to improve or transform processes to gain efficiencies or scale or reduce risk for our clients.
• Engage with industry participants on market trends, competitive activities, and topic-specific discussions impacting the industry.
• Create external-facing industry perspectives, lead generation materials, or sales proposals for internal business development initiatives.
• Identify, evaluate, and prioritize business, operational, regulatory, and technology risks, and develop risk mitigation strategies for our clients.
• Support and jointly own internal business initiatives, managing resources and project economics to meet business objectives with prescribed timeframes and within budgets.
• Recruit, manage, and retain our talent pipeline, serving as a professional development coach and performance manager to junior staff.
• Understand the impact of key technology trends and workforce changes impacting our clients through engagement with innovative and emergent technologies.

Qualifications

• Bachelor's Degree or higher
• A minimum of 8+ years working in the financial services or consulting industry related to any of the following Financial Services/capital markets industries: investment banking, broker-dealer, prime brokerage, wealth management, or related technology service provider
• Significant experience in one or more of the following areas - Trade surveillance, communications surveillance, control room / information barriers compliance, or 1st line supervision/control. Strong familiarity with trade/communications surveillance and information barriers solutions
• Knowledge of relevant financial and securities regulations (market abuse, insider trading, information barriers) – US and global
• Ability to travel up to 75%, on average, based on the work you do and the clients and industries/sectors you serve
• Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future.
• Strong working knowledge of a range of financial services and / or securities-related business models, products, and services particular to the applicable industry, including deep understanding of traded asset classes and products, and related data (Orders, executions, RFQs, Market Data, etc.)
• Track record of involvement in strategic, regulatory, risk-related, technological, or operational change initiatives within capital markets environments
• Direct experience in people management, preferably leading cross-function project teams

Preferred qualifications

• Experience using, configuring, implementing, or supporting systems for either trade surveillance, communications surveillance, control room/information barriers, employee compliance
• Strong technical skills in data manipulation, including SQL and potentially Python
• Experience in designing trade surveillance models and analytics
• Direct hands-on experience with order management, trade capture, regulatory reporting systems/processes
• Direct experience with process design and mapping, workflow development, user acceptance testing, data mapping, migration, visualization/ analytics, system configuration and testing, status monitoring and issue resolution
• Experience aligning operational or compliance/surveillance processes to broader business or product strategies, with understanding of market structure and emerging trends
• Exposure to or previous work with major financial services regulators (e.g., SEC, FINRA, CFTC, OCC, FCA, DOJ, FRB)