Manager - Capital Markets Surveillance

About the role

The Enterprise Operations & Risk offering at Deloitte assists clients in achieving profitable growth and competitive advantage by optimizing key operations. We specialize in extending enterprise resilience, agility, and remediation capabilities, addressing client needs across the organization and impacting strategy, operations, performance, and reputation.

Responsibilities

• Assist clients with their 1st and 2nd lines of defense supervision and surveillance programs, focusing on risk areas such as market abuse, manipulation, information barriers, and conflicts of interest.
• Design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies.
• Engage in diverse and challenging projects, including assisting with the development of client deliverables and internal business needs.
• 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 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 as well as risk mitigation strategies for our clients.
• Support and jointly own internal business initiatives, managing resources and project economics to meet business objectives within prescribed timeframes and 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 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% 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
• Direct experience in people management, preferably leading cross-function project teams