Manager – Capital Markets Surveillance
Strategy, Growth, and Transformation | Functional and Operational Strategy and Transformation
Same job available in 9 locations
Boston, Massachusetts, United States
Chicago, Illinois, United States
Jericho, New York, United States
Jersey City, New Jersey, United States
Morristown, New Jersey, United States
New York, New York, United States
Philadelphia, Pennsylvania, United States
Princeton, New Jersey, United States
Stamford, Connecticut, United States
Position Summary
Manager – Capital Markets Surveillance
Our Enterprise Operations & Risk offering enables clients to achieve profitable growth and competitive advantage by optimizing “heart of the business” operations. We leverage deep domain expertise to extend enterprise resilience, agility and remediation. Our professionals address client needs which span the organization and impact strategy, operations, performance and reputation.
We assist clients with their 1st and 2nd lines of defense supervision and surveillance programs, focusing on risk areas of market abuse and manipulation, information barriers and conflicts of interest. This includes assistance to design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies. This role combines regulatory knowledge, analytical skills, and technology expertise.
Work you’ll do
Our practitioners have the opportunity to engage a diverse and challenging portfolio of projects which include assistance to design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies. The role combines regulatory knowledge, analytical skills, and technology expertise. The industry knowledge and experience which candidates bring will be critical to the success of our clients as the development of the team from an early stage, giving candidates real opportunities to build credibility with and add value to our clients.
As a Manager, you will have opportunities to:
- Lead project teams and junior practitioners in the development of client deliverables or for internal business needs
- Serve as primary client contact or workstream lead on complex projects, liaise with client counterparts, and actively participate in discussions on project management and work delivery needs
- Lead the development of quality work products with throughout development lifecycle from initial conception to implementation
- Serve as subject matter advisor on client projects, including providing recommendations to improve or transform processes to gain efficiencies or scale or reduce risk for our clients
- Engage with industry participants on market trends, competitive activities, and topic-specific discussions impacting the industry, potentially including with clients, industry consortiums, or trade groups or committees
- Lead internal business development initiatives and sales opportunities, including the creation of external-facing industry perspectives, lead generation materials, or sales proposals
- Identify, evaluate, and prioritize business, operational, regulatory, and technology risks as well as risk mitigation strategies for our clients
- Support and jointly own internal business initiatives, including the management of resources and project economics to meet business objectives with prescribed timeframes and within budgets
- Support the recruitment, management, and retention of our talent pipeline, including serving as a professional development coach and performance manager to junior staff
- Understand the impact of key technology trends and workforce changes impacting our clients through engagement with innovative and emergent technologies, including cloud computing, big data and analytics, process automation, artificial intelligence / machine learning, and other digital strategies
The successful candidate would possess these skills:
- Ability to work independently and collaborate as part of a team
- Effective written and verbal communication skills
- Meticulous attention to detail and quality of work product
- Ability to build and sustain professional relationships
- Ability to lead projects or workstreams
- Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
- Strong interpersonal skills and professional demeanor
- Ability to meet deadlines
- Ability to mentor and provide clear guidance to others
Qualifications
Candidates will have exceptional records of professional achievement, experience working in a relevant financial services industry sector, and a demonstrated capacity and enthusiasm for self-paced development. Candidates will be expected to motivate others, build constructive relationships with clients and colleagues, lead international teams, and work both independently and as part of a team. Successful candidates will demonstrate an aptitude for complex problem-solving and analytical skills and the ability to communicate complex ideas clearly and persuasively across a variety of strategic, operational, technological, and risk management matters.
Required Qualifications:
- Bachelors Degree or higher
- A minimum of 8+ years working in the financial services or consulting industry related to any of the following Financial Services/capital markets industries: investment banking, broker-dealer, prime brokerage, wealth management, or related technology service provider
- Significant experience in one or more of the following areas - Trade surveillance, communications surveillance, control room / information barriers compliance, or 1st line supervision/control. Strong familiarity with trade/communications surveillance and information barriers solutions
- Knowledge of relevant financial and securities regulations (market abuse, insider trading, information barriers) – US and global
- Ability to travel up to 75%, on average, based on the work you do and the clients and industries/sectors you serve
- Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future.
- Strong working knowledge of a range of financial services and / or securities-related business models, products, and services particular to the applicable industry, including deep understanding of traded asset classes and products, and related data (Orders, executions, RFQs, Market Data, etc.)
- Track record of involvement in strategic, regulatory, risk-related, technological, or operational change initiatives within capital markets environments
- Direct experience in people management, preferably leading cross-function project teams
Preferred qualifications
Candidates possessing one or more of the following qualifications is preferred:
- Experience using, configuring, implementing, or supporting systems for either trade surveillance, communications surveillance, control room/information barriers, employee compliance
- Strong technical skills in data manipulation, including SQL and potentially Python
- Experience in designing trade surveillance models and analytics
- Direct hands-on experience with order management, trade capture, regulatory reporting systems/processes
- Direct experience with process design and mapping, workflow development, user acceptance testing, data mapping, migration, visualization/ analytics, system configuration and testing, status monitoring and issue resolution
- Experience aligning operational or compliance/surveillance processes to broader business or product strategies, with understanding of market structure and emerging trends
- Exposure to or previous work with major financial services regulators (e.g., SEC, FINRA, CFTC, OCC, FCA, DOJ, FRB)
Candidates joining our firm should possess intellectual curiosity, creativity, and critical thinking in addition to the qualifications below:
- Strong oral and written communication skills, including the ability to support or lead business proposal development and sales presentations
- Strong relationship management skills, particularly the ability to build constructive and product working relationships with clients and among Deloitte practitioners
- Strong project / program management skills, particularly possessing a strong work ethic, a commitment to excellence in work product delivery, and the ability to independently manage multiple priorities and deadlines
- Advanced aptitude with Microsoft Office products, particularly Microsoft PowerPoint, Excel, and Visio
Our Deloitte Regulatory, Risk & Forensic team helps client leaders translate multifaceted risk and an evolving regulatory environment into defensible actions that strengthen, protect, and transform their organization. Join our team and use advanced data, AI, and emerging technologies with industry insights to help clients bring clarity from complexity and accelerate their path to value creation.
Information for applicants with a need for accommodation: https://www2.deloitte.com/us/en/pages/careers/articles/join-deloitte-assistance-for-disabled-applicants.html
The wage range for this role takes into account the wide range of factors that are considered in making compensation decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs. The disclosed range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled. At Deloitte, it is not typical for an individual to be hired at or near the top of the range for their role and compensation decisions are dependent on the facts and circumstances of each case. A reasonable estimate of the current range is $144600 - $265100.
You may also be eligible to participate in a discretionary annual incentive program, subject to the rules governing the program, whereby an award, if any, depends on various fac tors, including, without limitation, individual and organizational performance.
Deloitte is committed to providing reasonable accommodations for people with disabilities. If you require a reasonable accommodation to participate in the recruiting process, please direct your inquiries to the Global Call Center (GCC) at USTalentCICInbox@deloitte.com.
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**Our people and culture**
Our inclusive culture empowers our people to be who they are, contribute their unique perspectives, and make a difference individually and collectively. It enables us to leverage different ways of thinking, ideas, and perspectives, and bring more creativity and innovation to help solve our clients' most complex challenges. This makes Deloitte one of the most rewarding places to work.
Our purpose
Deloitte’s purpose is to make an impact that matters for our people, clients, and communities. At Deloitte, purpose is synonymous with how we work every day. It defines who we are. Our purpose comes through in our work with clients that enables impact and value in their organizations, as well as through our own investments, commitments, and actions across areas that help drive positive outcomes for our communities. Learn more.
**Professional development**
From entry-level employees to senior leaders, we believe there’s always room to learn. We offer opportunities to build new skills, take on leadership opportunities and connect and grow through mentorship. From on-the-job learning experiences to formal development programs, our professionals have a variety of opportunities to continue to grow throughout their career.
As used in this posting, "Deloitte" means Deloitte Financial Advisory Services LLP, a subsidiary of Deloitte LLP. Please see [www.deloitte.com/us/about](http://www.deloitte.com/us/about) for a detailed description of the legal structure of Deloitte LLP and its subsidiaries. Certain services may not be available to attest clients under the rules and regulations of public accounting.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability or protected veteran status, or any other legally protected basis, in accordance with applicable law.
Requisition code: 350588
Job ID 350588