Wealth Market Surveillance, Vice President, Hybrid Full Time NEW

State Street is expanding the wealth management business to service retail investors. In the new model, State Street will deliver a differentiated, fully digital, globally scalable, custody and clearing solution and experience for wealth advisors and self-directed wealth platforms as well as their clients around the world.

The Vice President, Market Surveillance Compliance is a leadership role responsible for the strategic direction, execution, and oversight of State Street’s surveillance program for this exciting new business initiative. 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, EMEA 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 the new business globally, ensuring alignment with business-specific risk profiles, including the Market Abuse Risk Assessments
• Represent organization and metrics 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 reviews of trade surveillance alerts
• Provide lead role in monitoring operations of the surveillance function
• Provide strategic direction and budget support for the planning for technology enhancements needed
• Partner with the IT organization, as needed, to promote a clear understanding of the business’ 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, market manipulation, etc.) and breaches of other regulations

Compliance Escalation

• Build appropriate escalation procedures to evaluate and report any potential market abuse transactions.
• Serve as the primary escalation point for flagged issues involving potential regulatory breaches
• Manage escalation procedures with the appropriate audiences including Ethics, Compliance, Business Risk, Financial Investigations Unit and other 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

Required Experience And Qualifications

• Minimum of 10 years of experience in trade surveillance, trade operations, or trade related functions
• Deep understanding of equity, fixed income, mutual fund and ETF transactions
• 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

Salary Range

$110 000 – $188 750 Annual

The range quoted above applies to the role in the primary location specified. If the candidate would ultimately work outside of the primary location above, the applicable range could differ.

Employees are eligible to participate in State Street’s comprehensive benefits program, which includes: our retirement savings plan (401K) with company match; insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages; paid-time off including vacation, sick leave, short term disability, and family care responsibilities; access to our Employee Assistance Program; incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans); and, eligibility for certain tax advantaged savings plans.

For a full overview, visit https://hrportal.ehr.com/statestreet/Home.

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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Job Application Disclosure

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.

Job ID: R-787969