EMEA Head of Surveillance - Executive Director

JPMorgan Chase & Co.; Greater London; On-site; GBP 90,000 - 130,000; Full time

Job summary

A leading global financial services firm is seeking an EMEA Head of Surveillance - Executive Director to manage the compliance surveillance program across the region. This role requires strong leadership and expertise in trade and communications surveillance. The successful candidate will collaborate with key stakeholders, drive compliance efforts, and innovate risk management solutions. This position is ideal for candidates with extensive experience in compliance roles and a proven track record of delivering tangible results.

Qualifications

• Extensive experience managing large, remote teams.
• Experience in a Compliance role in Trade and Communications Surveillance.
• Track record in compliance innovation and delivery of outcomes.

Responsibilities

• Lead the Firm’s Surveillance program for the EMEA region.
• Maintain partnerships across various internal teams.
• Drive compliance with surveillance documentation and processes.

Skills

Leadership of diverse teams

Trade and Communications Surveillance expertise

Regulatory compliance knowledge

Analytical skills

Effective communication skills

Job description

As part of Risk Management and Compliance, being at the center of keeping JPMorgan Chase strong and resilient is key. This role supports the firm in growing its business responsibly by anticipating new and emerging risks and applying expert judgment to solve real-world challenges that impact the company, customers, and communities.

As an EMEA Head of Surveillance - Executive Director within the Global Compliance Surveillance Program team, you will manage all facets of CCOR’s Global Compliance Trade and Electronic Communications Surveillance Program in the region. Your role will necessitate a profound understanding of financial markets, regulations (including the Market Abuse Directive), UK and EU regulatory expectations, conduct risk, trading data, and data governance. Utilizing your prior management experience, you will collaborate closely with global and regional Compliance, Business, Technology, and Data Science stakeholders, aid in establishing goals and target outcomes, and lead the execution of the EMEA Surveillance Program.

The culture in Risk Management and Compliance emphasizes thinking outside the box, challenging the status quo, and striving to be best-in-class.

Job responsibilities

• Lead the Firm’s Surveillance program for the EMEA region; demonstrating effective leadership of a key control within the region while remaining mindful of the need for global consistency
• Leverage data-driven performance indicators, prioritizing work, and maintaining momentum on key deliverables, including through effective planning and oversight as well as partnership with other functions including technology and data science leaders among other functions
• Leverage and deepen subject matter expertise in trade and communications surveillance data and functional domains to guide the design of innovative solutions, with the overarching goal of increasing compliance risk management effectiveness and efficiency
• Engage proactively with executive-level stakeholders and maintain collaborative partnerships across Surveillance, Compliance, Data Science, Technology, vendors, and other internal teams
• Provide management and oversight to all Surveillance team key stakeholders, and actively participate in regional and global compliance forums
• Collect feedback from surveillance team leads and Chief Compliance Officers regularly to assess their needs and identify areas for surveillance innovation and improvement
• Provide subject matter expertise on trade and electronic communications surveillance products to internal stakeholders
• Keep current on regulatory changes / priorities, and industry trends / best practices to ensure the firm’s surveillance coverage remain current and effective
• Adapt to the fast-paced and flexible nature of surveillance product and technology development
• Drive compliance with, and maintenance of, comprehensive surveillance documentation, data, processes, and systems

Required qualifications, capabilities, and skills

• Extensive related experience, including successfully managing large, diverse, and geographically remote teams
• Experience in a Compliance role with direct knowledge and proficiency in Trade and Communications Surveillance
• Experience with the implementation of surveillance risk assessment frameworks and best practices
• Track record in compliance/surveillance innovation and development
• Demonstrates full appreciation of the importance of regulatory obligations
• Track record of delivering specific and tangible outcomes
• Exercise sound judgment; act with integrity; protect our company, clients and customers
• Curious and creative thinker, who identifies potential for improvements in any area
• Sharp analytical and problem-solving skills, with excellent attention to detail
• Effective communication, presentation, and public speaking skills