Attorney in New York City, NY

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In-House

New York City, NY

Attorney in New York City, NY

Non-practicing Attorney

Min 10 yrs required

No

Job Title: Director, Head of Surveillance

Job Responsibilities:
As the Director, Head of Surveillance at the company, you will oversee the company's Electronic Communications Surveillance Program and Trade Surveillance for its Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Your primary responsibility is to maintain the Surveillance function to identify and mitigate risks related to market abuse by managing controls and reviews over trades, orders, and communications of employees involved in market activities. You will lead a team of Surveillance analysts responsible for these functions, perform quality assurance, and routinely report metrics. Your duties will include:

- Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers (equity trading & fixed income (ABS)).
- Executing daily controls on trades, orders, and communications, ensuring appropriate quality control and monitoring for Swap Dealer and institutional broker dealers.
- Managing and continually improving the programs, conducting periodic reviews, and establishing and monitoring controls for surveillance.
- Defining business requirements for technology implementation (new capabilities, vendor services).
- Collaborating with technology groups to implement and test technology solutions to meet business requirements.
- Establishing data quality controls and operations.
- Managing the onboarding and offboarding process of technology platforms.
- Reviewing records, handling the first level review, and escalating unresolved issues to Desk Heads and Compliance Advisory.
- Providing subject matter expertise, advice, and guidance on issues, rules, and regulations applicable to Broker-Dealers and CFTC Swap Dealers.
- Maintaining policies, procedures, and guidance to document operating procedures and support compliance with applicable regulatory obligations and corporate requirements.
- Assisting the team in identifying and escalating issues through formal channels and facilitating timely and effective resolution.
- Performing periodic quality assurance of subordinate reviews.
- Producing and providing management with program performance metrics.
- Independently managing internal audits and regulatory examinations and responding to regulatory inquiries.
- Managing projects necessary to support initiatives within the Compliance organization and across the company.

Education and Experience Information:
Basic Qualifications:
- Bachelor’s Degree or Military experience.
- At least 3 years of experience as a people manager.
- At least 5 years of experience in compliance, surveillance, audit, or regulatory experience in the financial services industry.

Preferred Qualifications:
- At least 5 years of experience as a people manager, ideally of a Surveillance function.
- At least 10 years or more of full-time relatable experience in a surveillance role, compliance, or audit related to securities and derivatives.
- FINRA Series 7 and 24 licenses.
- Master’s Degree or Juris Doctor from an accredited university.
- Knowledge of emerging technologies such as natural language processing.
- Experience in designing and deploying market abuse detection tools.
- Operation of Surveillance systems, including tuning and calibration.
- Strong technical knowledge of trade and communications surveillance, ideally covering major asset classes such as fixed income, equities, and derivatives (OTC & exchange traded).

Salary Information:
The salary ranges for the Director, Risk Management position are as follows:
- Sales Territory: $181,800 - $207,500
- McLean, VA: $200,100 - $228,400
- New York, NY: $218,300 - $249,100
- Plano, TX: $181,800 - $207,500

Candidates hired to work in other locations will be subject to the pay range associated with that location, with the actual annualized salary amount offered reflected in the candidate’s offer letter. This role is also eligible for performance-based incentive compensation, which may include cash bonuses and/or long-term incentives.

The company offers a comprehensive set of health, financial, and other benefits that support total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level. The role is open for applications for a minimum of 5 business days, and the company is an equal opportunity employer committed to non-discrimination and promoting a drug-free workplace.

Jun 23, 2025
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