Attorney in Charlotte, NC

In-House

Charlotte, NC

Attorney in Charlotte, NC

Non-practicing Attorney

No

Job Title: Director, Head of Surveillance

Job Responsibilities:

As the Director, Head of Surveillance, you will manage the Electronic Communications Surveillance Program and Trade Surveillance for the Company's Commodity Futures Trading Commission (CFTC) Swap Dealer and three Broker-Dealers. Key responsibilities include:

- Oversight of trade surveillance for Swap Dealer (interest rate, FX commodities-energy) and institutional Broker-Dealers (equity trading & fixed income (ABS)).
- Oversee the execution of daily controls on trades, orders, and communications, ensuring appropriate quality control and monitoring for Swap Dealer and the institutional broker dealers.
- Manage and continually improve programs, conduct periodic reviews, operating procedures, and establish & monitor controls for surveillance.
- Define business requirements for technology implementation (new capabilities, vendor services).
- Work with technology groups to implement and test technology solutions to meet business requirements.
- Establish data quality controls and operations.
- Oversee and manage the onboarding and offboarding process of technology platforms.
- Responsible for reviewing records, handling first-level review, and escalation of unresolved issues to Desk Heads and Compliance Advisory.
- Provide subject matter expertise, advice, and guidance on issues, rules, and regulations applicable to Broker-Dealers and CFTC Swap Dealers (., recordkeeping, business conduct rules, supervision).
- Maintain policies, procedures, and guidance designed to document operating procedures and to support compliance with applicable regulatory obligations, corporate requirements, and industry best practices.
- Assist the team in identifying and escalating issues through formal escalation channels and facilitating timely and effective resolution.
- Perform periodic quality assurance of subordinate review.
- Produce and provide management with program performance metrics.
- Independently manage internal audits and regulatory examinations; respond to regulatory inquiries.
- Independently manage projects necessary to support initiatives both 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 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 (., natural language processing)
- 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 a variety of all major asset classes (fixed income, equities, derivatives (OTC & exchange traded))

Salary Information:

The minimum and maximum full-time annual salaries for this role are listed below, by location. Please note that this salary information is solely for candidates hired to perform work within one of these locations, and refers to the amount the Company is willing to pay at the time of this posting. Salaries for part-time roles will be prorated based upon the agreed-upon number of hours to be regularly worked.

- Sales Territory: $181,800 - $207,500 for Director, Risk Management
- McLean, VA: $200,100 - $228,400 for Director, Risk Management
- New York, NY: $218,300 - $249,100 for Director, Risk Management
- Plano, TX: $181,800 - $207,500 for Director, Risk Management

Candidates hired to work in other locations will be subject to the pay range associated with that location, and the actual annualized salary amount offered to any candidate at the time of hire will be reflected solely in the candidate’s offer letter.

This role is also eligible to earn performance-based incentive compensation, which may include cash bonus(es) and/or long-term incentives (LTI). Incentives could be discretionary or non-discretionary depending on the plan.

The Company offers a comprehensive, competitive, and inclusive set of health, financial, and other benefits that support your total well-being. Eligibility varies based on full or part-time status, exempt or non-exempt status, and management level.