Surveillance Strategy Compliance VP

Barclay Simpson; London; On-site; GBP 90,000 - 150,000; Full time

Job summary

A leading firm seeks a Surveillance Strategy Compliance VP to shape their global market abuse surveillance framework. The role demands a proven leader with over 10 years of experience in financial services compliance, overseeing risk assessments and fostering stakeholder engagement. The successful candidate will bring strong analytical and communication skills necessary for effective team leadership and strategic execution.

Qualifications

• 10+ years of experience in financial services compliance.
• Experience in leading surveillance risk assessments.
• Strong knowledge of market abuse risks and regulatory expectations.

Responsibilities

• Define strategic priorities of global surveillance function.
• Lead global surveillance strategy and risk assessment.
• Oversee surveillance threshold calibration and lexicon refinement.

Skills

Stakeholder Management

Analytical Skills

Communication Skills

Leadership

Education

Compliance or Risk Management Certifications (e.g., ICA, ACAMS, CISI)

Job description

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 [e-mail] for more info