JULIE-ANN MAY

Senior leader responsible for the strategic and operational management of the Compliance Surveillance function.

• Leadership & oversight of global surveillance processes.
• Strategic decision-making on compliance coverage, control enhancements, and process optimisation.
• Conduct and oversee complex investigations into suspicious activity, including interviews and formal reporting.
• Oversee responses to regulatory/exchange enquiries, ensuring appropriate representation of business and Compliance interests.
• Represent Compliance in Leadership Forums and during executive and regulatory visits.
• Drive continuous improvement through policy updates, control strengthening, and management information production.
• Provide advice and challenge to key stakeholders in implementing the Compliance Framework.
• Lead talent management, succession planning, and capability development across the Compliance teams.

Led the Belfast Compliance department with responsibility for surveillance activities, SMCR, licensing, and exchange administration.

• Managed surveillance operations, including targeted surveillance tasks and escalations.
• Oversaw SMCR, employee licensing, and futures exchange administration.
• Conducted and supervised investigations into suspicious activity.
• Maintained strong relationships with senior stakeholders and front-office teams, delivering regulatory guidance to support compliance objectives.
• Ensured policies and procedures were 'consistently maintained and updated to reflect the operational practices of the teams and the evolving regulations.
• Produced management information and contributed to strategic compliance planning, enhancing the framework for regulatory adherence.
• Represented Compliance in Leadership Forums and regulatory engagements.

• Managed the Compliance Monitoring team, ensuring effective execution of the surveillance programme.
• Ensured completion of surveillance controls under the Compliance Controls Framework.
• Directed Level 1 surveillance assessments and managed Level 2 escalations.
• Led investigations into suspicious activity and produced detailed findings reports.
• Guided alert tuning recommendations and system optimisation.
• Delivered performance management, coaching, and development for the team.

• Conducted Level 1 surveillance across trade, order, and communications systems, specialising in Energy & Commodities.
• Performed investigations and produced findings reports.
• Completed periodic block trade reviews and escalated areas of concern.
• Supported policy maintenance and surveillance control execution.