Vice President, Surveillance Quality Assurance

Vice President, Surveillance Quality Assurance

About the Company

Accomplished investment bank

Industry

Investment Banking

Type

Privately Held

About the Role

The Company is seeking a Vice President for Surveillance Quality Assurance. The successful candidate will be responsible for assessing and enhancing the design and operational effectiveness of the firm's existing Surveillance QA function. This includes improving QA processes, alert review standards, and supporting technology to ensure efficiency and accuracy in surveillance alert reviews across various asset classes. The role also involves providing feedback to surveillance analysts, documenting key findings, and collaborating with data science and technology teams to refine alert sampling methodologies. Additionally, the VP will be tasked with identifying and prioritizing automation opportunities, partnering with compliance advisory and technology teams, and ensuring that the surveillance program meets global regulatory requirements.

Applicants for the Vice President Surveillance Quality Assurance role at the company should have a strong background in surveillance, compliance, or a related field within the financial services industry. A deep understanding of global regulatory requirements and industry standards is essential. The role requires the ability to define and implement performance metrics, as well as a proven track record of fostering a culture of accountability and continuous improvement. Experience in enhancing QA processes, alert review standards, and supporting technology is a must, as is the ability to collaborate with cross-functional teams, including data science and technology. A proactive approach to identifying and addressing process inefficiencies, as well as the ability to prioritize and implement system enhancements, is also key.

Travel Percent

Less than 10%

Functions

• Finance