Compliance Monitoring & Surveillance, Vice President

Position Summary

The Vice President, Market Surveillance Compliance is a leadership role responsible for the strategic direction, execution, and oversight of State Street’s surveillance program. This role spans all surveillance topics and ensures compliance with internal conduct standards and regulatory expectations. The incumbent serves as an enterprise subject matter expert (SME) for surveillance and leads globally distributed teams in identifying, escalating, and remediating market abuse risks.

Primary Responsibilities

Global Surveillance Leadership

• Lead a multi-regional surveillance team across North America and APAC
• Lead strategic review of market surveillance functions for compliance with regulation and standards, define criteria and metrics for measurement, and define program deliverables to ensure that the function continues to meet objectives.
• Lead surveillance operations for State Street Investment Management globally and lead other surveillance functions based in India, ensuring alignment with business-specific risk profiles, including the Market Abuse Risk Assessments
• Act as local management for Markets/Global Treasury Market Surveillance (all aspects) for resources located in India
• Represent Market Surveillance in senior reporting meetings, reporting on progress against objectives
• Manage the resources responsible for day-to-day operational review of surveillance functions

Surveillance Execution & Technology Enablement

• Direct daily and monthly reviews of electronic communications (email, voice, chat, collaboration platforms)
• Direct daily and monthly reviews of trade surveillance alerts
• Provide strategic direction and budget support for the planning for technology enhancements needed surveillance
• Partner with the IT organization to ensure a clear understanding of technology priorities
• Implement and optimize AI-driven surveillance tools to enhance detection of market abuse, conduct violations, and off-channel communications
• Maintain and evolve lexicons and models targeting market misconduct (e.g., insider trading, manipulation, MNPI exposure) and breaches of the State Street Standard of Conduct

Ethics & Conduct Escalation

• Serve as the primary escalation point for flagged issues involving potential breaches of the State Street Code of Conduct and regulation
• Manage escalation procedures within the State Street Investment Management Market Surveillance organization that includes the appropriate audiences including Ethics, Global Human Resources, Compliance, Business Risk, Financial Investigations Unit and other internal partners, ensuring timely and complete handoff of relevant evidence and context
• Collaborate with the Conduct Standards Committee to support investigations, findings, and remediation actions
• Maintain referral logs and ensure compliance with escalation protocols and audit requirements

Policy Governance & Risk Management

• Develop, certify, and maintain surveillance policies, control descriptions, and procedural documentation
• Lead remediation efforts for backlog reduction, SLA alignment, and risk mitigation across business lines
• Manage Archer findings to on-time completion

Reporting & Analytics

• Design and manage global reporting frameworks for operational metrics, daily dashboards, monthly summaries, and quarterly executive reports
• Standardize and automate reporting across business units and regions, ensuring transparency and consistency in surveillance outcomes

Stakeholder Engagement & Governance

• Act as the Market Surveillance SME in business oversight committees, providing expert guidance on surveillance trends, risks, and controls
• Liaise with Compliance, Risk, Legal, Technology, and Business Unit leaders to align surveillance practices with enterprise goals
• Represent the surveillance function in strategic planning forums and regulatory engagements

Training & Development

• Lead onboarding, training, and certification programs for surveillance staff
• Support succession planning and team transitions through structured coverage models and documentation
• Promote a culture of compliance and continuous improvement across the surveillance organization

Qualifications

• Minimum of 10 years of experience in compliance, financial crimes, market surveillance, or related regulatory functions
• Demonstrated ability to navigate a highly matrixed global organization, building cross-functional partnerships to drive task completion and strategic outcomes
Proven leadership in managing global teams and cross-border operations
• Deep understanding of surveillance platforms, regulatory frameworks, and financial markets
• Strong analytical, communication, and stakeholder management skills
• Bachelor’s degree required; MBA preferred

About State Street

Across the globe, institutional investors rely on us to help them manage risk, respond to challenges, and drive performance and profitability. We keep our clients at the heart of everything we do, and smart, engaged employees are essential to our continued success.

We are committed to fostering an environment where every employee feels valued and empowered to reach their full potential. As an essential partner in our shared success, you’ll benefit from inclusive development opportunities, flexible work-life support, paid volunteer days, and vibrant employee networks that keep you connected to what matters most. Join us in shaping the future.

As an Equal Opportunity Employer, we consider all qualified applicants for all positions without regard to race, creed, color, religion, national origin, ancestry, ethnicity, age, disability, genetic information, sex, sexual orientation, gender identity or expression, citizenship, marital status, domestic partnership or civil union status, familial status, military and veteran status, and other characteristics protected by applicable law.

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