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Global Head of Surveillance

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Global Head of Surveillance

Job Location
Chicago
Employment type
Regular
Department
Operations
Targeted Start Date
Immediate

DRW is a diversified trading firm with over 3 decades of experience bringing sophisticated technology and exceptional people together to operate in markets around the world. We value autonomy and the ability to quickly pivot to capture opportunities, so we operate using our own capital and trading at our own risk.

Headquartered in Chicago with offices throughout the U.S., Canada, Europe, and Asia, we trade a variety of asset classes including Fixed Income, ETFs, Equities, FX, Commodities and Energy across all major global markets. We have also leveraged our expertise and technology to expand into three non-traditional strategies: real estate, venture capital and cryptoassets.

We operate with respect, curiosity and open minds. The people who thrive here share our belief that it’s not just what we do that matters–it's how we do it. DRW is a place of high expectations, integrity, innovation and a willingness to challenge consensus.

As the Global Head of Surveillance, you’ll lead the development and oversight of DRW’s global surveillance program - including surveillance, regulatory reporting and data analysis. As a key member of DRW’s Compliance leadership team, the Global Head of Surveillance will have responsibility for a broad range of compliance work, with particular emphasis on partnering with DRW’s Global Head of Compliance and Chief Compliance Officer to administer the firm’s global surveillance and regulatory reporting programs.  This role will report to the Global Chief Compliance Officer.

What you will do in this role: 

  • Lead DRW’s global surveillance program, including the design, development and management of its proprietary surveillance technology and regulatory reporting compliance systems.
  • Principal in the long-term product design, roadmap and delivery schedule for the firm’s internal compliance tools, surveillance and regulatory reporting.
  • Work closely with Compliance Officers and Compliance Software Engineers in the development of technology initiatives.
  • Create and maintain project plans and technical requirement documentation for all existing and newly proposed surveillances and regulatory reporting processes.
  • Monitor and report on the effectiveness of the compliance technology program. Including parameter testing and validation on both proprietary and third-party systems.
  • Develop quality assurance testing and gap analysis testing on compliance technology to ensure continued effectiveness and accuracy.
  • Review and analyze all new and existing surveillances and regulatory reporting processes to identify potential synergies that may easily be applied to other markets and/or products.
  • Display effectiveness in identifying compliance risks; seeks relevant data and analyzing the impact and possible consequences.
  • Implement and enforce compliance policies regarding the oversight of compliance technology and continually evaluate the efficacy of the DRW’s surveillance and regulatory reporting programs, in order to implement appropriate enhancements, where needed.

What is needed for this role:   

  • 10 years of regulatory surveillance experience required
  • Must have strong knowledge of the financial markets, surveillance and how it applies to a fastpaced complex multi-product trading environment.
  • Experience with programming languages and third-party compliance systems
  • Ability to effectively communicate at all levels within the organization
  • Must have strong business acumen and the analytical and problem-solving skills necessary to identify trends and root issues, and to recommend solutions that support the company’s business objectives
  • Must have strong organizational, project management and presentation skills
  • Must have excellent written and verbal communication skills
  • Bachelor’s degree required; engineering experience preferred

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California residents, please review the California Privacy Notice for information about certain legal rights at https://drw.com/california-privacy-notice.

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