Lead, develop, and mentor a high-performing surveillance team
Design and execute the firm’s risk-based monitoring and detections program
Oversee the development and calibration of surveillance analytics, pattern detection scenarios, and alert thresholds
Direct the triage, investigation, and escalation of surveillance alerts
Govern the surveillance program through a formal charter, scenario documentation, QA standards, and operating procedures
Manage governance records, issue logs, and periodic validations; prepare management reporting with trend insights, themes, and remediation tracking
Collaborate with Technology and Data teams to enhance surveillance platforms
Partner with Supervision, Compliance, Legal, and Risk to integrate surveillance insights

Bachelor’s degree required; advanced degree (JD, MBA, or related field) preferred.
10+ years of financial services experience, including 5+ years in surveillance, supervision, compliance, or risk management.
Proven leadership experience managing teams and driving complex, cross-functional, data-driven initiatives.
Strong knowledge of broker-dealer regulatory frameworks (FINRA, SEC, state regulations) and surveillance governance standards.
Expertise in surveillance tools, data analytics, alert management, and investigative practices.
Excellent communication, documentation, and stakeholder engagement skills; active FINRA Series 7 and 24 required; Series 9/10 preferred.

Director of Supervision, Surveillance & Monitoring

Key skills