Compliance Director - ETP Surveillance

A Director level opportunity has arisen for an experienced surveillance professional to join a leading international financial institution in Dublin. This pivotal role sits within the Global Compliance Department and offers the chance to shape and enhance the trade surveillance programme for exchange traded products (ETPs) across a significant business area.

What you'll do:

As Director of Exchange Traded Products Surveillance, you will:

• Oversee the design, implementation, and continuous improvement of the trade surveillance programme for exchange traded products across multiple regulated markets.
• Lead, mentor, and develop a team of skilled trade-surveillance analysts (locally and overseas) ensuring effective coverage of all relevant trading activity.
• Act as the primary point of contact for business management, regulators, and both internal and external auditors on matters related to ETP surveillance.
• Provide expert advice and guidance on regulatory requirements to business units, supporting them in managing their regulatory risk effectively.
• Monitor communications and trading activity for signs of market manipulation, collusion, or other prohibited practices, escalating issues as appropriate.
• Develop and maintain comprehensive compliance policies and procedures tailored to exchange traded products.
• Manage complex projects simultaneously, prioritising tasks to meet long-term strategic objectives for the functional area.
• Report regularly on the state of compliance to senior management and relevant boards, offering clear insights into emerging risks and trends.
• Stay abreast of regulatory developments affecting ETPs and disseminate critical information throughout the organisation.
• Deliver relevant training sessions to ensure all team members remain informed about current regulations and best practices.

What you bring:

• Third level degree or equivalent progressive work experience demonstrating deep understanding of financial markets and regulatory frameworks.
• Established experience in compliance or trade surveillance roles within capital markets or financial services environments.
• Proven track record managing teams of professionals in high-stakes settings where attention to detail is paramount.
• Comprehensive knowledge of exchange traded products including listed options, equities, alternative trading systems, and futures markets.
• Exceptional interpersonal skills enabling you to build trust-based relationships with senior stakeholders both internally and externally.
• Demonstrated ability to interpret complex regulations and translate them into practical policies that support business objectives while mitigating risk.
• Experience handling multiple concurrent projects with competing deadlines without compromising quality or accuracy.
• Strong written and verbal communication skills suitable for preparing reports for executive audiences as well as delivering engaging training sessions.
• A collaborative approach that encourages knowledge sharing among colleagues while promoting an inclusive team culture focused on shared goals.

What's next:

You will be at the forefront of regulatory compliance, working closely with senior management, regulators, and internal teams to ensure robust oversight and adherence to evolving market standards. If you are passionate about maintaining market integrity and enjoy collaborating with knowledgeable colleagues in a highly respected environment, please get in touch with Suzanne Feeney for a confidential conversation.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates