Head of Compliance Surveillance

Atlas Search; New York (NY); On-site; USD 225,000 - 275,000; Full time

Job summary

A leading company in the financial services sector is seeking an Executive Director, Head of Communications Surveillance to enhance its surveillance framework across the Americas. The role involves driving policy development, managing compliance teams, and optimizing surveillance technology in accordance with regulatory standards.

Qualifications

• Minimum 12 years of experience in financial compliance or surveillance.
• Proven leadership abilities in managing compliance teams.
• Strong experience with electronic communications monitoring.

Responsibilities

• Lead and manage E-Communications and Voice Surveillance programs.
• Direct Communications Surveillance review team for risk management.
• Collaborate with Data Analytics teams for surveillance support.

Skills

Analytical skills

Critical thinking

Leadership

Communication skills

Detail-oriented

Education

Bachelor’s degree

Advanced degree or relevant certifications

Tools

Surveil-X

Relativity Trace

NICE Actimize

Job description

This range is provided by Atlas Search. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$225,000.00/yr - $275,000.00/yr

Direct message the job poster from Atlas Search

The Compliance Department is seeking a highly skilled Executive Director, Head of Communications Surveillance, to lead and enhance its communications surveillance framework across the Americas. This role reports directly to the Managing Director, Head of Surveillance, Control Room, and Conflicts of Interest, and is responsible for the implementation, management, and optimization of vendor applications that support this framework.

The successful candidate will drive the strategic development of policies, procedures, and technological solutions in response to regulatory changes and business needs, ensuring a robust and effective communications surveillance program.

Role Objectives

• Lead and manage the E-Communications and Voice Surveillance programs for the bank's Americas, including the development, maintenance, and enforcement of policies, procedures, and controls.
• Direct the Communications Surveillance review team, ensuring effective risk identification, escalation, and resolution.
• Oversee the handling of escalated communications, working closely with line of business supervisors and compliance teams as necessary to address potential issues in alignment with regulatory requirements.
• Enhance surveillance training by providing subject matter expertise to the central compliance training team for continuous program development.
• Develop and implement meaningful Management Information Systems (MIS) and performance metrics to track program effectiveness and escalate key findings as needed.
• Lead system implementations and enhancements, ensuring surveillance technology solutions are optimized, compliant with regulatory expectations, and aligned with industry best practices.
• Collaborate with Data Analytics teams to design, implement, and refine models supporting communications surveillance.
• Define and report Key Risk Indicators (KRI) and Key Performance Indicators (KPI) to compliance management committees, highlighting key risks and trends.
• Stay ahead of regulatory developments and industry best practices, ensuring surveillance framework remains proactive and compliant.
• Act as a trusted liaison between the Americas Compliance function and key internal stakeholders, including Head Office, Business Unit Leadership, and Group Compliance Officers (CCOs).

Company Requirements:

Qualifications and Skills

• Bachelor’s degree required; advanced degree or relevant certifications preferred.
• Minimum 12 years of experience in the financial industry, with a strong focus on compliance, surveillance, or electronic communications monitoring.
• Proven leadership experience managing compliance teams and developing surveillance programs.
• Strong analytical and critical thinking skills, with the ability to assess, escalate, and mitigate compliance risks.
• Detail-oriented, ensuring all staff and communications are monitored effectively and aligned with regulatory workflows.
• Experience working with electronic communications surveillance tools (e.g., Surveil-X, Relativity Trace, NICE Actimize, or similar).
• Excellent verbal and written communication skills, with the ability to influence senior stakeholders and present complex compliance findings.

Seniority level

• Seniority level

  Director

Employment type

• Employment type

  Full-time

Job function

• Job function

  Finance

• Industries

  Financial Services, Banking, and Investment Banking

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