VP, Surveillance Quality Oversight

Madison-Davis, LLC; United States; Hybrid; USD 120,000 - 160,000; Full time

Job summary

An investment bank is seeking a VP, Surveillance Quality Oversight to enhance their Surveillance Quality Assurance function. This mid-senior level role involves assessing existing QA processes, conducting reviews on various asset classes including FX and Fixed Income, and collaborating with Data Science teams to refine methodologies. The position is full-time and offers a hybrid work schedule, with a focus on aligning the surveillance program with regulatory compliance and improving efficiency in alert reviews.

Qualifications

• Experience in assessing and enhancing QA processes.
• Knowledge of surveillance systems and regulatory compliance.
• Mid-senior level understanding of financial products.

Responsibilities

• Assess design and effectiveness of Surveillance QA function.
• Conduct routine QA reviews across multiple asset classes.
• Enhance alert review standards and supporting technology.
• Provide feedback to improve alert review accuracy.
• Document findings and identify process inefficiencies.
• Collaborate with teams to refine alert sampling methodologies.
• Identify automation opportunities to enhance surveillance.

Skills

Surveillance Quality Assurance

Data Science Collaboration

Natural Language Processing

Statistical Modeling

Process Improvement

Job description

An investment bank located in Midtown Manhattan looking to bring on board a “VP, Surveillance Quality Oversight” to join their team. This role is currently on a hybrid schedule (2 days in office / week).

Responsibilities

• Assess the design and operational effectiveness of the firm’s existing Surveillance Quality Assurance (QA) function.
• Enhance QA processes, alert review standards, and supporting technology to improve efficiency and accuracy in surveillance alert reviews.
• Conduct routine QA reviews of surveillance alerts across multiple asset classes, including FX, Fixed Income, Commodities, Exchange-Traded Products, and Electronic Communications.
• Provide actionable feedback to surveillance analysts and product leads to improve the accuracy, consistency, and completeness of alert reviews.
• Document key findings, highlight emerging risks, and identify process inefficiencies and opportunities for improvement.
• Collaborate with Data Science and Technology teams to refine alert sampling methodologies using tools such as natural language processing (NLP) and statistical modeling.
• Identify and prioritize automation opportunities and system enhancements to strengthen surveillance infrastructure.
• Partner with Compliance Advisory, Technology, and Surveillance leadership to enhance review methodologies and QA effectiveness.
• Ensure the surveillance program aligns with global regulatory requirements and evolving industry standards.
• Define goals and performance metrics for a global Surveillance QA team, fostering a culture of accountability and continuous improvement.

Seniority level

Mid‑Senior level

Employment type

Full‑time

Job function

Finance

Industries

Financial Services and Banking