VP & Head of Compliance – Global Markets & Surveillance

About the role

The incumbent will be a core member of the Compliance Advisory team, responsible for providing compliance advice, oversight and challenge to Global Markets and Corporate Finance businesses, and leading the Compliance Surveillance function globally.

Key responsibilities

• Provide compliance advice, oversight and challenge to Global Markets, Global Corporate Finance and related business teams, including product‑specific regulatory guidance.
• Lead and execute the tactical and strategic agenda for Compliance Surveillance, evolving controls and ensuring day‑to‑day surveillance activities meet agreed protocols and KPIs.
• Represent compliance at governance meetings, manage issue escalation, and support regulatory change projects.
• Develop and deliver the Annual Compliance Plan, conduct risk assessments and oversee targeted reviews.
• Lead, mentor and develop a team of AVPs and Specialists, driving personal development and nationalisation targets.

Required profile

• Bachelor’s degree or higher in management, banking, finance or related field, preferably with a compliance certification.
• Minimum 10 years’ experience in financial services compliance, including at least 6 years in compliance surveillance/monitoring.
• Extensive knowledge of market abuse rules, regulations and cases, and international laws affecting Global Markets and Investment Banking.
• Strong interpersonal, people‑management and leadership capabilities.

Required skills

• Deep understanding of automated surveillance tools and platforms.
• Expertise in market abuse regulations and compliance policy development.
• Analytical ability to support decision‑making with sound reasoning.