Job Summary The Senior Compliance Manager Global Surveillance Oversight (GSO) will serve as the lead surveillance risk management officer for the India-based Global Surveillance Oversight function, providing strategic leadership, governance, and oversight across multiple surveillance domains, including Trade Surveillance, Electronic Communications Surveillance and Voice Surveillance.

This role is accountable for leading and driving the evolution of India GSO Team. The position requires a highly experienced compliance leader capable of balancing regulatory risk management, operational execution, stakeholder engagement, and transformation initiatives across multiple jurisdictions.

The role will act as a senior partner to global GSO stakeholders, ensuring surveillance frameworks remain effective, scalable, regulator-ready, and aligned to evolving regulatory expectations.

Strategic Leadership Governance

- Provide strategic leadership for the Global Surveillance Oversight (GSO) program across multiple surveillance pillars and jurisdictions.
- Drive the development and execution of the GSO strategy, aligning with global compliance and risk objectives.
- Ensure consistency of surveillance standards, governance frameworks, operating procedures, and escalation protocols across regions.
- Act as the single point of accountability for surveillance risk oversight within the India organization.
- Partner with global leadership teams to shape the future-state GSO operating model.

Surveillance Oversight
- Lead and oversee GSO activities across:
- Trade Surveillance
- Electronic Communications (E-Comms) Surveillance
- Voice Surveillance
- Key responsibilities include: Ensuring effective GSO coverage and risk-based monitoring frameworks.
- Overseeing alert review quality, escalation processes, and investigative outcomes.
- Identifying surveillance gaps and implementing appropriate controls.
- Providing credible challenge and review of surveillance methodologies and risk assessments.
- Monitoring regulatory developments and assessing impact on surveillance programs.

Regulatory Audit Readiness




- Maintain surveillance programs that meet regulatory expectations across multiple jurisdictions, including SEC, FCA, and other applicable regulatory bodies.
- Lead regulatory examination readiness efforts, including drafting responses to regulator inquiries, audits, reviews, and thematic assessments.
- Ensure appropriate documentation, evidence retention, governance reporting, and control effectiveness.
- Partner with Compliance Testing, Internal Audit, and Risk functions to address findings and drive sustainable remediation.

Transformation Innovation
- Lead strategic transformation initiatives focused on automation, advanced analytics, AI-enabled surveillance capabilities, and process optimization.
- Drive simplification and modernization of surveillance workflows and operating models.
- Identify opportunities to improve effectiveness, efficiency, scalability, and risk coverage through technology and data solutions.
- Sponsor and oversee work migration initiatives and operational transitions into India.
- Build capabilities that support the long-term GSO vision.

Stakeholder Management
- Serve as a trusted advisor to senior Compliance and Risk leadership.
- Present surveillance outcomes, key risks, metrics, and strategic initiatives to senior management forums.

People Leadership
- Lead, coach, and develop the team with multiple surveillance disciplines.
- Establish a high-performance culture focused on accountability, collaboration, and continuous improvement.
- Build succession pipelines and strengthen technical expertise across the function.
- Promote employee engagement, capability development, and leadership growth.
- Ensure effective capacity resource planning, workload prioritization, and performance management.

Risk Management Controls
- Maintain robust governance and control frameworks supporting GSO activities.




- Ensure timely identification, escalation, and mitigation of surveillance-related risks.
- Drive continuous improvement in quality assurance, metrics, reporting, and monitoring processes.
- Support enterprise compliance initiatives related to market abuse.

Required Qualifications
- 7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education
- 3+ years of management or leadership experience

Desired Qualifications
- 12+ years of experience in Compliance, Market Conduct, Surveillance or related control functions.
- Significant experience managing Trade Surveillance and/or Communications Surveillance programs within a global financial institution.
- Proven people leadership experience managing teams across multiple compliance disciplines.
- Demonstrated experience engaging with senior stakeholders across global organizations.
- Experience supporting regulatory examinations, audits, and compliance reviews.
- Solid understanding of global regulatory requirements relating to market conduct and surveillance.
- Experience overseeing multiple surveillance pillars simultaneously.
- Experience leading global operating model transformation initiatives.
- Experience implementing surveillance technologies, automation, analytics, or AI-driven monitoring solutions.
- Experience establishing or scaling Centres of Excellence and offshore capability centres.
- Exposure to SEC, FCA, FINRA, MiFID, MAR, and related regulatory frameworks is preferrable.

Critical Competencies Leadership
- Strategic thinking
- Executive presence
- Decision-making under ambiguity
- Change leadership
- Talent development

Functional Expertise
- E-Communications Surveillance
- Market Abuse Risk

Business Operational Excellence
- Transformation and automation
- Risk assessment and control design
- Program management
- Data-driven decision making
- Process optimization

Stakeholder Management
- Executive communication
- Cross-functional collaboration
- Global relationship management
- Regulatory engagement readiness

📌 Compliance Senior Manager - Trade and Communication (Hyderabad)
🏢 Wells Fargo
📍 Hyderabad