Key Responsibilities
1. Global Surveillance Framework
- Design, implement, and continuously enhance the global market surveillance framework.
- Ensure consistency of surveillance standards across regions while accommodating local regulatory requirements.
- Oversee daily trade surveillance activities across multiple jurisdictions and asset classes.
2. Market Abuse Detection & Investigation
- Monitor and investigate alerts related to insider trading, market manipulation, spoofing, layering, wash trading, front-running, and other suspicious trading activities.
- Conduct complex cross-border investigations involving multiple markets or entities.
- Escalate significant findings to senior management and relevant regulatory authorities where required.
3. Regulatory Compliance (Multi-Jurisdiction)
- Ensure compliance with applicable global regulatory frameworks (e.g., MAR, MiFID II, SEC/FINRA rules, ASIC, MAS, HK SFC, etc., depending on company footprint).
- Oversee the preparation and submission of regulatory filings such as STORs, SARs, or equivalent reports.
- Track regulatory developments globally and assess their impact on surveillance controls.
4. Data, Systems & Controls
- Partner with Technology and Data teams to enhance surveillance systems, alert calibration, and scenario effectiveness.
- Lead model validation, threshold tuning, and false-positive reduction initiatives.
- Support automation and data analytics enhancements in surveillance monitoring.
5. Governance & Reporting
- Develop global surveillance policies, procedures, and governance standards.
- Prepare periodic reports and dashboards for senior management and board-level committees.
- Support internal audits, regulatory inspections, and external reviews.
6. Stakeholder & Regional Coordination
- Act as the central point of contact for regional compliance teams on market surveillance matters.
- Provide guidance and training to trading desks and business units on market conduct risks.
- Coordinate global investigations and ensure consistent documentation standards.
Qualifications & Experience
- Bachelor's degree in Finance, Law, Economics, or related discipline.
- 6+ years of experience in Market Surveillance, Market Conduct, or Compliance within a global financial institution, trading venue, or regulator.
- Strong understanding of global market abuse regulations and cross-border compliance requirements.
- Experience managing complex investigations involving multiple asset classes (equities, derivatives, FX, fixed income, digital assets, etc.).
- Experience with trade surveillance systems and data analytics tools.
- Strong analytical, investigative, and documentation skills.
- Excellent English communication skills (additional languages are a plus).
