Surveillance Strategy Compliance VP

Barclay Simpson • Full-time • London, London • 1w ago

Surveillance Strategy Compliance VP
Location: London
Department: Compliance – Surveillance
Reports to: Global Head of Surveillance / Group Chief Compliance Officer

Role Overview

The Surveillance Strategy VP will play a pivotal role in shaping the strategic direction and operational effectiveness of the firm’s global market abuse surveillance framework. Working closely with the Group CCO and Global Head of Surveillance, this individual will be responsible for setting strategic priorities, executing global risk assessments, and overseeing the adequacy of surveillance controls across all asset classes and regions.

This role involves high-level stakeholder engagement, leadership of both onshore and offshore teams, and end-to-end ownership of risk assessment, audit engagement, and horizon scanning processes. The successful candidate will have proven experience in trade and communications surveillance, excellent analytical and communication skills, and a strong understanding of financial markets and market abuse risks.

Key Responsibilities

Partner with the Group CCO and Global Head of Surveillance to define and refine the strategic priorities of the global surveillance function.
Lead the design and execution of global surveillance strategy, including location model, risk appetite articulation, and stakeholder engagement frameworks.
Drive planning and prioritization of global transformation initiatives across trade and e-communications surveillance.
Lead the global market abuse risk assessment process to ensure accurate and consistent risk measurement by front office desk heads and compliance risk stewards.
Oversee annual surveillance threshold calibration and lexicon refinement processes to ensure relevance and alignment to emerging risks.
Lead horizon scanning activities to identify new and emerging market abuse risks and regulatory developments.
Act as the primary liaison for Group Internal Audit, providing detailed evidence and documentation on control effectiveness, risk assessments, and surveillance enhancements.
Collaborate with global business heads to assess market abuse risk related to business growth and innovation.
Work with the Compliance Technology team to align surveillance control development and implementation with strategic goals.

Skills and Experience Required

Mandatory:

10+ years of experience in financial services compliance, with strong exposure to trade and communications surveillance.
Proven experience in leading surveillance risk assessments and transformation programs.
Strong knowledge of market abuse risks, controls, and global regulatory expectations.
Track record of managing diverse teams across multiple geographies, including offshore delivery models.
Excellent stakeholder management and communication skills, with the ability to influence at senior levels.
Experience preparing and responding to internal audits and regulatory reviews.
Strong analytical mindset with the ability to synthesize complex information into actionable strategy.

Desirable:

Experience in working across investment banking, asset management, or trading environments.
Familiarity with surveillance technologies and lexicon/threshold optimization techniques.
Relevant compliance or risk management certifications (e.g. ICA, ACAMS, CISI).

Please contact me with your CV ne@barclaysimpson.com for more info

Related Jobs

HR Systems Administrator - Workday, Configuration, Security, Implementation

NST Recruitment Limited • APPLICATION • London, Not Specified, United Kingdom • 30min ago

Outside IR35

HR Systems Administrator - Workday, Security Groups, Workflow, System Implementation, Configuration, HR Operations, Stakeholder Management, London (Onsite) £500 p/d (Outside IR35) This is a fantastic HR Systems Administr...

30min ago

Apply

IT Risk Manager

Harvey Nash IT Recruitment UK • APPLICATION • London, Not Specified, United Kingdom • £250 - £300 / * • 30min ago

IT Risk Manager - Servicenow, ITIL, Banking sought by leading investment bank based in the city of London. *Inside IR35 - 4 days per week on site* The IT Risk Manager position focuses on ensuring that applications and in...

30min ago

Apply

Content designer - Private sector education experience - Inside IR35

Opus Recruitment Solutions Ltd • APPLICATION • Remote (London, Not Specified, United Kingdom) • £350 / * • 30min ago

Fully Remote

I am working with a private sector client in the education sector who need a content designer to join a 4 week contract. - Inside IR35 - £350 per day - Fully remote - 4 week project Key Responsibilities Stakeholder resea...

30min ago

Apply

AWS DevOps Engineer

Red - The Global SAP Solutions Provider • APPLICATION • London, Not Specified, United Kingdom • 31min ago

Engineer

We have a current opportunity for a AWS DevOps Engineer on a contract basis. The position will be based in Stratford. For further information about this position please apply. Role: AWS DevOps Engineer Location: Stratfor...

31min ago

Apply

MuleSoft Functional/Business Analyst

Harvey Nash IT Recruitment UK • APPLICATION • London, Not Specified, United Kingdom • £500 - £600 / * • 31min ago

Business Analyst

Mulesoft Business Analyst - SAP Integration sought by leading financial services organisation based in London. *Inside IR35 - 3 days a week on site* We are looking for an experienced and skilled MuleSoft BA Integration A...

31min ago

Apply

Technology Finance Analyst

Tria Recruitment • APPLICATION • London, Not Specified, United Kingdom • 33min ago

Position : Technology Finance Consultant Location : Remote (with occasional visits to London office) Employment Status : Full-Time, Contract Industry : Transport Contract Duration : Initial 3 months Tria have partnered w...

33min ago

Apply

IDAM Solution Architect

Oliver James • TRAFFIC • London, Not Specified, United Kingdom • £700 - £800 / * • 33min ago

Architect Outside IR35

IDAM Solution Architect - Outside IR35 - London - Financial Services / Insurance We're working with a leading financial services and insurance client who are looking for an experienced Identity and Access Management (IDA...

33min ago

Apply

SharePoint Operations Support Analyst

Pontoon • APPLICATION • Kent, Bromley, United Kingdom • £450 - £500 / * • 35min ago

*SharePoint Operations Support Analyst* (Contract) Duration: 12 Months (Possibility for extension) Location: Bromley, Camberley or Chester/Hybrid (3 days on site) Rate: A highly competitive Umbrella Day Rate or Salary is...

35min ago

Apply

Network Security Architect

Xcede • APPLICATION • London, Not Specified, United Kingdom • 35min ago

Architect Outside IR35

Network Security Archtiect 6-month contract Market Rate - Outside IR35 Remote working ACTIVE SC CLEARANCE REQUIRED TO BE CONSIDERED About the Role We are seeking an experienced Network Security Architect to join our team...

35min ago

Apply

Python Developer - Fixed Income (Contract) | London, UK | Hybrid

Vertus Partners • London, England, GB • £700 - £850 / * • 36min ago

Developer

Summary: Contract Python Developer to join a greenfield project in Fixed Income trading Python Developer | Fixed Income Trading We are currently recruiting for an experienced Python Developer to join the Front Office tra...

36min ago

Apply

Browse Our Contract Jobs by Category

Data

175 jobs

Engineer

1119 jobs

Architect

218 jobs

Project Manager

185 jobs