Manager - Capital Markets Surveillance

About the role

The Enterprise Operations & Risk offering at our firm 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. We 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.

Responsibilities

• Engage a diverse and challenging portfolio of projects which include assistance to design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies.
• Combine regulatory knowledge, analytical skills, and technology expertise to lead project teams and junior practitioners in the development of client deliverables or for internal business needs.
• Serve as primary client contact or workstream lead on complex projects, liaising with client counterparts and actively participating in discussions on project management and work delivery needs.
• Develop 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, potentially including with clients, industry consortiums, or trade groups or committees.
• Lead internal business development initiatives and sales opportunities, including the creation of external-facing industry perspectives, lead generation materials, or sales proposals.
• Identify, evaluate, and prioritize business, operational, regulatory, and technology risks as well as risk mitigation strategies for our clients.
• Support and jointly own internal business initiatives, including the management of resources and project economics to meet business objectives with prescribed timeframes and within budgets.
• Recruit, manage, and retain our talent pipeline, including 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, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies.

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: 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.
• Strong familiarity with relevant financial and securities regulations (market abuse, insider trading, information barriers) - US and global.
• Ability to travel up to 75% based on the work you do and the clients and industries/sectors you serve.
• Legal authorization 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.