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Global Operations Manager (Compliance & eSurveillance)

Global Operations Manager (Compliance & eSurveillance)

The legal industry is changing and Elevate’s team are some of the most respected leaders in the sector as we continue to deliver cutting edge products and services in support of our clients. Elevate’s client, a top tier Global Investment Bank, is currently undergoing significant change across its legal and compliance support functions as they react to the changing regulatory landscape. As a result of this change, they are working with us to develop a communications surveillance function that will help to prevent non-compliance and market abuse.

As Head of Compliance, you will manage the communications surveillance compliance function of around fifty (50) Surveillance Analysts in two locations who will be identifying potential instances of market abuse. The role will be accountable for day to day management of a team responsible for screening pre-selected electronic communication data and escalating cases to the client where appropriate.

You might be the right person if you:

  • Are looking for a management role with exceptional growth potential
  • Have a keen understanding of the compliance issues facing financial institutions
  • Want to join an experienced management team with a proven track record in providing the highest level of support to top companies
  • Have achieved qualification as a lawyer / attorney / solicitor
  • Are an innovative and process orientated thinker who is able to solve problems and put repeatable systems of work in place
  • Are passionate about delivering excellent quality and service that has an impact for demanding clients
  • Are a proven leader and motivator of people
  • Like the sound of working in a fast-paced dynamic environment for a quickly growing global company

Specifically you will be:

  • Managing a team screening large amounts of electronic communication ensuring adherence to client guidelines
  • Identifying and escalating potential instances of market abuse to the client
  • Working with the client’s stakeholders to ensure the efficient escalation of relevant cases
  • Ensuring the service is meeting client KPI’s
  • Creating and documenting supported processes
  • Managing team documentation, as well as metrics and status reporting
  • Responsible for hiring new team members as the function grows
  • Ensuring all deliverables are completed with highest level of quality
  • Managing the client relationship

Experience:

  • Minimum 8 years PQE
  • Must have experience in eSurveillance in a sales and trading environment
  • Expertise in AML and Client On-boarding requirements and processes required
  • Previous compliance, regulatory work history within a financial services setting
  • Previous experience managing a team in an operational setting
  • Ability to demonstrate a deep understanding of the current regulatory climate and knowledge of the role of compliance in relation to conduct and potential market abuse

Skills for Success:

  • Strong Leadership skills to effectively support senior, intermediate and junior team members
  • Excellent communication skills (verbal and written)
  • Works well in high volume environment
  • High level of attention to detail and strong problem solving skills
  • Proactive approach, effective with minimal guidance
  • Good understanding of reporting (creation, development)
  • Excellent team player, and ability to work collaboratively

Technical Skills:

  • Excellent reporting skills
  • Advanced MS Excel and PowerPoint skills to support and develop all internal and
  • client trackers

Qualifications:

  • Bachelor’s Degree required preferably in Finance or Business
  • A Compliance or Financial Risk based qualification (desirable)
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