Vice President - Surveillance & Monitoring - Investment Bank

- Review and Oversight of Controls

- Review of surveillance exceptions with Business Personnel and Compliance Officers.

- Ensure that surveillance reviews are being performed properly from a qualitative and timeliness perspective.

- Oversight of exception reviews generated by detective controls.

- Identify enhancements to existing controls.

- Test the integrity of system controls and surveillance reports by participating in testing programs and validating test results.

- Participate in periodic risk assessments. Development of Controls

- Partner with Business Personnel, Compliance Officers, and Compliance Technology to develop and/or enhance system controls, surveillances and associated procedures and training.

- Apply a consistent approach across businesses, products and regions.

- Develop associated functional specifications and testing scripts.

- Develop and/or enhance systematic processes for escalating issues.

- Develop and/or enhance tools to track repeat offenders and identify patterns of problematic activity across businesses, products and regions.

- Coordinate issues, findings and practices with colleagues across regions and/or divisions.

- Generation of management reports / Management information Systems.

- Reporting of exception reviews generated by detective controls.