Manager - Global Surveillance Oversight

Lloyds Banking Group•Halifax, NS

1d•Hybrid

About The Position

The Manager, Surveillance Oversight supports the delivery of independent second line oversight of the firm’s Surveillance framework, helping to ensure effective management of Market Abuse risks across products and markets. Sitting within 2LoD Conduct & Compliance, the role works closely with Senior Manager and Global Head colleagues to deliver day‑to‑day Surveillance Oversight activity. The role provides proportionate challenge to first line Surveillance, supports governance and assurance activity, and contributes to well‑evidenced risk management outcomes.

Requirements

At least 4 years’ experience working within Compliance, Conduct Risk, Market Abuse or a related control or oversight function, ideally within a Global Markets or investment banking environment.
Experience supporting oversight, advisory or assurance activity over Surveillance or comparable monitoring frameworks, with a good working knowledge of Market Abuse regulation and supervisory expectations.
Comfortable analysing information, documenting judgements and providing constructive challenge, while working effectively with a wide range of collaborators.
Strong organisation skills, attention to detail and clear written communication are critical.

Nice To Haves

Experience supporting a second line Surveillance Oversight or Market Abuse governance framework.
Solid understanding of UK regulatory environment and working understanding of EU/US regimes.
Exposure to Surveillance alert handling, near‑miss reviews or STOR processes.
Experience working alongside Surveillance technology, data or QA teams.
Experience chipping in to governance forums or assurance activity.
A collaborative working style that supports constructive challenge and learning.

Responsibilities

Deliver day‑to‑day second line oversight of Surveillance activity, supporting effective management of Market Abuse risks in line with policy, regulatory expectations and risk appetite.
Review Surveillance performance information, including management information, alert trends, quality outcomes and follow‑up actions, raising observations and concerns through appropriate Compliance channels.
Support governance activity by chipping in to Surveillance‑related forums and working groups, providing oversight input and clear documentation of observations and outcomes.
Act as a 2LoD point of contact for Surveillance‑related matters, supporting alert outcomes, near‑miss reviews and STOR processes through informed challenge and clear record‑keeping.
Undertake Compliance monitoring, assurance or testing activity over Surveillance controls, supporting assessment of design and operating effectiveness and documenting findings clearly.
Provide advisory support on the application of Compliance policies and standards relating to Market Abuse and Surveillance, including business or operating model change.
Build effective working relationships across Surveillance, Compliance, Risk, Technology and Front Office teams to support coordinated and proportionate outcomes.
Contribute to continuous improvement of Surveillance Oversight tools, approaches and documentation.