Associate Director – Communication Surveillance Strategy – Governance & Program Management

Associate Director – Communication Surveillance Strategy – Governance & Program Management

Requirements

• Minimum of 5 years in Compliance, Surveillance, Security and/or Audit in relation to electronic communication
• Minimum of 5 years of program or project management preferably in GRC within financial services, banking, brokerage, trading systems… OR prior law enforcement and/or military experience specific to digital surveillance
• Minimum of 3 years of experience using electronic communication surveillance tools such as Smarsh, Digital Reasoning, cSULB…
• Knowledge of MSR, MiFID II, FINRA….
• Prior experience creating Lexicons, solid understanding of NLP (Natural Language Processing) or related technology
• Strong subject matter expertise on market abuse as well as regulatory requirements
• Experience performing and/or supporting surveillance activities – digital
• Strong knowledge of industry best practice relating to digital surveillance techniques and methodology specifically focused on communications surveillance
• Experience working in a global organization with global teams across multiple regions, large and complex initiatives
• Experience and communication skills necessary to interact regularly with senior management within Compliance and the business, in writing, in form of presentations and in-meetings
• Experience with effectively interacting and communicating surveillance standards and approach with internal auditors and external parties including regulators is a plus
• Ability to work well with cross-regional teams and create a collaborative environment and ability to work effectively within a matrix organizational structure
• Ability to influence decisions by providing input, reasoned judgement and insight. Ability to solicit feedback and actively listen
• Contribute to management’s ability to make informed and risk-based decisions on priorities
• Bachelor’s Degree, Bachelor’s in Computer Science or equivalent experience

Responsibilities

• Execution of roadmap for the development, enhancement and implementation of the communication surveillance program
• Act as project lead for technology efforts with internal and external IT partners to deliver state of the art applications
• Work with regional teams to define the business and technology requirements for the surveillance program
• Coordinate roll out, adoption and compliance of AI models with Model Risk Management
• Analyze communication patterns, keywords and metadata to detect suspicious activity
• Serve as a data governance steward to oversee data quality matters related to data acquisition from various applications and systems and handling that data across all of our communication channels and surveillance infrastructure
• Perform activities related to the global risk assessment framework specific to communications surveillance
• Contribute to the identification of areas of improvement based on the risk assessment findings and other key inputs
• Support a centralized team within Surveillance that is responsible for the design and effectiveness of communication surveillance reviews that involves an assessment of business specifications, regulatory coverage, product coverage, implementation, etc.
• Perform advisory role responsibilities for communications surveillance centric queries and projects globally
• Stay up-to-date with relevant regulatory requirements and industry best practices

Preferred Qualifications

• CAMS, CRCP, CDSO, NICCS, CEH…