Global Head Of Market Surveillance Compliance
The Global Head of Market Surveillance Compliance is a senior leadership role responsible for designing, overseeing, and continuously enhancing the firm's global market surveillance compliance framework across trade and electronic communications surveillance. This role provides strategic direction, independent oversight, and governance to ensure the surveillance program is robust, risk-based, technology-enabled, and aligned with applicable regulatory expectations across jurisdictions. The role partners closely with Compliance, Legal, Risk, Front Office, Operations, and Technology stakeholders to identify emerging risks, assess surveillance effectiveness, drive program enhancements, and support a strong culture of compliance and market integrity.
This role leads a global team of surveillance compliance professionals and is accountable for setting strategy, establishing priorities, and ensuring consistent execution across regions. The Global Head is expected to build strong partnerships with senior business and control function leaders, influence strategic decisions, and provide credible challenge where needed. The role also requires stewardship of governance forums, ownership of surveillance-related policies and standards, and oversight of remediation initiatives arising from regulatory change, control testing, audit findings, or program reviews.
Education & Preferred Qualifications:
- Extensive experience in market surveillance, compliance, risk management, analytics, or a related control function within a global financial institution.
- Strong understanding of surveillance methodologies, scenario design, model calibration, alert governance, investigation practices, and data quality considerations.
- Experience with analytic technologies related to data mining and evaluation of trade and communication data
- Deep knowledge of market abuse, conduct risk, trade surveillance, and communications surveillance regulatory expectations across major jurisdictions.
- Strong understanding of current regulatory concerns in the FX/Swap Dealer, Broker Dealer spaces, and knowledgeable of financial markets; preference to a background in FX
- Demonstrated experience leading global teams and managing complex regulatory or transformation initiatives.
- Proven ability to engage effectively with regulators, senior executives, auditors, and cross-functional stakeholders.
- Strong knowledge of financial markets, trading products, business conduct risks, and associated control environments.
- Excellent written and verbal communication skills, with the ability to synthesize complex issues for senior management and governance audiences.
- Bachelor's degree required; advanced degree, legal qualification, or relevant professional certification preferred.
- 10+ years related experience (Surveillance, or business-line compliance, risk or control functions)
- Familiarity with surveillance tools such as Bloomberg Vault, Global Relay, Smarsh, Scila, Trading Technologies, NICE or other surveillance platforms
Core Competences:
- Strategic leadership and sound judgment
- Comfort in advanced technologies including AI and analytics
- Regulatory and compliance expertise
- Risk assessment and control design
- Program governance and execution discipline
- Stakeholder management and influence
- Analytical thinking and problem solving
- Change leadership and continuous improvement
- Executive presence and communication
Preferred Qualifications:
- Experience building or enhancing enterprise surveillance programs in a complex, global organization; familiarity with surveillance technology platforms, data governance, and model risk considerations; and experience supporting multi-jurisdictional regulatory engagements are strongly preferred.
- Experience across multiple asset classes and both transaction and communication monitoring environments is highly desirable.
Salary Range:
$170,000 - $267,500 Annual
The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.
Employees are eligible to participate in State Street's comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.
As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.