Head of Surveillance

2 months ago

London, United Kingdom Investigo Full time

About the Role:

The role holder plays a critical role within the Ethics and Compliance function by ensuring the frameworks and operating model for the function are managed, maintained, and adhered to. Additionally, the individual will be required to join leadership-level compliance meetings and ensure transparency is provided on all surveillance activities.

The individual in this role will work across the Ethics and Compliance team and support the Head of Compliance with various matters. The key areas of responsibility will include:


People & Talent

  • Provide leadership, management, and coaching to direct and matrix reports and ensure that there is adequate support for people, processes, tools, frameworks, and systems in the Surveillance team to ensure they are highly engaged and performing to their potential.
  • Stimulate an environment where forward planning, prioritization, deadline management, and streamlined workflows and collaborative, inclusive yet effective, and efficient work practices are the norm to support sustainable business growth and address compliance risks.
  • Provide objectives and a clear strategic view to the team, highlighting the importance of accurate monitoring.


Risk Management

  • Be accountable for the identification and escalation of potential risks and issues to senior management through appropriate governance channels.
  • Analyse significant risk events to ensure that all risks are identified and reported, and make risk mitigation recommendations.
  • Independently conduct data-driven surveillance effectiveness and optimization reviews to identify data issues and coverage gaps.


As an independent second-line risk control function, you will execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale, and complexity of the energy business.


Stakeholder Management

You will perform overall leadership for direct reports of the Surveillance team and work closely with developers and stakeholders to design and implement new monitoring scenarios and improve existing surveillance. You will:

  • Provide subject matter expert advice around market structure, critical data elements, and differentiate methodologies based on a deep understanding of physical and financial energy markets, products, and systems.
  • Prepare management information reports and present findings and recommendations to senior management.
  • Coordinate data gathering and analysis to support responses to regulatory inquiries and internal investigations.
  • Work closely with global colleagues and stakeholders (including staff in LRECS, Operations, and Technology) to promote the ongoing development and effectiveness of the surveillance program.


Strategic

  • Ensure agility in Strategic Change Management.
  • Design and maintain the surveillance strategy aligned with the business strategy and future growth plans.
  • Analyse relevant market abuse laws and regulations and correlate this to products and business models.
  • Undertake in-depth calibration reviews of detection scenarios and parameter settings.


Operational

  • Manage and protect business-as-usual (BAU) capability during change programs, as well as during the execution and delivery of remediation initiatives through project phases and into BAU, for manual monitoring processes.
  • Be accountable for managing and maintaining an effective surveillance framework/operating model in line with MAR, REMIT, and EMIR obligations.
  • Accountable for all aspects of trade and transaction, eComms, and voice surveillance across the energy business.


About You:

To be successful in this role, you need to possess strong leadership skills and the ability to motivate and build a successful surveillance team. The ideal candidate is a highly experienced senior leader with extensive experience in leading and managing a surveillance function, ideally within the commodities industry, and with a strong grasp of key regulations, including MAR, REMIT, EMIR, MiFID, and others. We are looking for someone who has experience within:

  • Defining and maintaining a scalable and adaptable surveillance operating model within a growing business (ideally commodity trading).
  • Managing relationships with executive-level stakeholders and supporting the Director of Ethics & Compliance with board-level reporting.
  • Overseeing and sponsoring strategic surveillance change and/or remedial projects.

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