Hamlyn Williams
Head of Monitoring & Surveillance Compliance Officer
Hamlyn Williams, New York, New York, us, 10261
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.
Do you have the following skills, experience and drive to succeed in this role Find out below. 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
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Do you have the following skills, experience and drive to succeed in this role Find out below. 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