Head of UK Surveillance

Business and Financial Operations

London, England, London, UK

Job Overview 

Newly created role with responsibility for driving the expansion and development of the market conduct surveillance function across Cowen’s UK businesses. 

Key Requirements 

  • Ensuring full and appropriate coverage of all products and businesses including cash equities, bonds, derivatives, FX, corporate finance.
  • Maximising the use of various trade surveillance tools from vendors, internal systems and desk analysis and driving improvements and adaptations to these when required
  • Managing a program designed to ensure compliance with relevant legislation, regulation and best practice expectations.
  • Acting as subject matter expert for all aspects of the market abuse surveillance function.
  • Acting as first point of contact for suspicion escalations, managing a triage function to determine if these need to be escalated further internally.
  • Ensuring immaculate records are maintained of all alerts, internal and external reports, investigations and determinations reached.
  • Providing regular MI to show areas of risk.
  • Maintaining strong relations with broker and client Compliance teams.
  • Identifying areas of the surveillance program that require development or enhancement in order to keep pace with developments in the business and across the industry.
  • Working collaboratively across the Cowen business with the Front Office, Operations and other risk control functions in the UK and globally.
  • Managing a Trade Surveillance team and leading the Trade Surveillance function.
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Candidate Profile

  • Track record in leading a market abuse surveillance team.
  • Proficient in the use of various surveillance tools including alert management and system optimisation.
  • Excellent knowledge of the UK market abuse regulatory regime.
  • Strong Excel skills.
  • Ability to prepare clear and succinct management reports.

Who We Are

Cowen Inc. (“Cowen” or the “Company”) is a diversified financial services firm offering investment banking services, equity and credit research, sales and trading, prime brokerage, global clearing, commission management services and actively managed alternative investment products. Cowen focuses on delivering value-added capabilities to our clients in order to help them outperform. Founded in 1918, the Company is headquartered in New York and has offices worldwide.

At Cowen, inclusion and diversity are catalysts for success and innovation in everything we do. We pride ourselves on our empathetic and collaborative culture, where the power of diversity is harnessed to transform the status quo. Our focus on inclusion expands our thinking in order to generate better outcomes for clients, while striving to increase fairness and equity for our colleagues. Cowen’s vision of creating a more inclusive and equitable future is supported by our core values and is essential to our ability to outperform.

Our Values

  • Vision: We consistently deliver differentiated and disruptive insights that help our clients outperform
  • Empathy:  We proactively consider and account for the priorities and concerns of our colleagues and clients
  • Sustainability: We endeavor to produce ideas and solutions that are ethically grounded and aim to pass the test of time
  • Tenacious Teamwork: We elevate collaboration to new levels, empowering our ability to provide the best solutions for our clients.

Learn more at: https://www.cowen.com/ and https://www.linkedin.com/company/cowen-inc/

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Protect Yourself from Recruitment Fraud. Recruitment fraud can be attempted through fake job postings, fake websites (posing as a Company) or unauthorized individuals impersonating recruiters (even using employee names). Depending on the role, Cowen will ask candidates to complete 2-4 interviews with Cowen employees before receiving an offer for employment. All communication regarding the interview process will come from an @cowen.com or @greenhouse.io email address. At no time throughout the hiring process will a Cowen recruiter or Human Resource Professional request any type of payment in order to be considered for the role. In addition, candidates will not be asked to submit personal information as a pre-requisite for the interview process.