Overview Head of Monitoring & Surveillance – Americas – seeking a compliance leader to oversee electronic and voice communications, trade surveillance, and data loss prevention programs for a major financial services firm. This role manages policies, controls, and monitoring activities, partners with business leadership, and serves as a key liaison with U.S. regulators. Key Responsibilities Lead surveillance programs and escalation processes, ensuring regulatory compliance. Oversee monitoring routines, reporting, and technology solutions. Direct a team focused on risk identification, escalation, and resolution. Collaborate with IT, business, and compliance teams to enhance surveillance and controls. Report KRIs and KPIs to senior compliance leadership. Qualifications 12+ years in financial services compliance, surveillance, or controls. Series 7, 24, and NFA Swaps Proficiency (or ability to obtain). Strong knowledge of U.S. Swap Dealer regulations (CFTC/NFA). Leadership experience managing compliance teams and programs. Familiarity with surveillance tools (e.g., SHIELD) and fixed income/swap products. Seniority level Director Employment type Full-time Job function Finance Base pay range $170,000.00/yr - $200,000.00/yr #J-18808-Ljbffr Hamlyn Williams
...Overview At KPMG, you can become an integral part of a dynamic team at one of the world's top tax firms. Enjoy a collaborative, future-forward culture that empowers your success. Work with KPMG's extensive network of specialists and enjoy access to our Ignition Centers...
...off organic meals daily (during in-store visits) ~20% off in-store purchases ~ Opportunity for tips, evenly shared amongst valet/parking team ~ Bonuses and sales rewards (for some departments) ~ HUGE opportunities for career growth ~401k with 4% match, Paid Vacation...
Ensure Compliance. Empower People. Drive Impact. At Mosaic, our mission is to relentlessly pursue opportunities that empower people. We are seeking a Housing Compliance Analyst to ensure our affordable housing projects are financially viable and in full compliance...
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