Assistant Vice President - Compliance Automation & Surveillance

Role: Compliance Automation & Surveillance for AVP

Overview:

The AVP will lead the design, implementation, and enhancement of automated compliance and surveillance solutions to strengthen company's regulatory oversight framework. This role combines compliance expertise with technology-driven innovation to ensure processes align with regulatory standards and operational efficiency.

Key Responsibilities:

- Automation & Solutions: Develop and maintain automated tools for compliance workflows, analytics, and reporting.

- Surveillance Management: Oversee systems monitoring market abuse, electronic communications, and other regulatory breaches.

- Leadership: Manage and mentor a high-performing team, fostering a culture of innovation and continuous improvement.

- Stakeholder Collaboration: Partner with Compliance, Technology, and external vendors to ensure effective oversight and timely system enhancements.

- Process Improvement: Regularly review systems and procedures to optimize effectiveness and stay aligned with evolving regulatory requirements.

Qualifications:

- Bachelor's degree in Law, Finance, Computer Science, or related field; advanced degree preferred.

- 15+ years of experience in Compliance, Risk Management, or related domains.

- Strong understanding of regulatory compliance, automation tools, and data analytics.

- Proven leadership, stakeholder management, and project management skills.

- Familiarity with programming (Python, SQL) and data visualization tools preferred.

- Certifications such as CIPP, CRCM, CERA are advantageous.