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Deloitte · 2 days ago

Manager - Capital Markets Surveillance

New York, NY

Full-time

Hybrid

Senior Level, Lead/Staff

$152K/yr - $266K/yr

8+ years exp

Deloitte is a leading professional services firm that enables clients to achieve profitable growth and competitive advantage through optimized operations. The Manager in Capital Markets Surveillance will lead project teams, engage with clients on complex projects, and utilize regulatory knowledge, analytical skills, and technology expertise to design and implement systems for detecting and preventing market abuse and insider trading.

AccountingConsultingFinancial ServicesLegalProfessional ServicesRisk Management

Growth Opportunities

No H1B

Responsibilities

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

Qualification

Trade surveillanceCommunications surveillanceFinancial regulations knowledgeData manipulation (SQL)People managementProject managementAnalytical skillsRelationship managementMicrosoft Office proficiencyCommunication skills

Required

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 1 st 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 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

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)

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