Manager - Capital Markets Surveillance

Overview

Our Enterprise Operations & Risk offering 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. This includes assistance to design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies. This role combines regulatory knowledge, analytical skills, and technology expertise.

Our practitioners have the opportunity to 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. The role combines regulatory knowledge, analytical skills, and technology expertise. The industry knowledge and experience which candidates bring will be critical to the success of our clients as the development of the team from an early stage, giving candidates real opportunities to build credibility with and add value to our clients.

• 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, liaise with client counterparts, and actively participate in discussions on project management and work delivery needs
• Lead the development of quality work products with throughout development lifecycle from initial conception to implementation
• Serve as subject matter advisor on client projects, including providing 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 time frames and within budgets
• Support the recruitment, management, and retention of 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

Candidates will have exceptional records of professional achievement, experience working in a relevant financial services industry sector, and a demonstrated capacity and enthusiasm for self-paced development. Candidates will be expected to motivate others, build constructive relationships with clients and colleagues, lead international teams, and work both independently and as part of a team. Successful candidates will demonstrate an aptitude for complex problem-solving and analytical skills and the ability to communicate complex ideas clearly and persuasively across a variety of strategic, operational, technological, and risk management matters.

• Bachelors Degree or higher
• A minimum of 8+ years working in the financial services or consulting industry related to any of the following Financial Services/capital markets industries: 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%, on average, 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 in the future
• Strong working knowledge of a range of financial services and / or securities-related business models,…