Outstanding long-term contract opportunity! A well-known Financial Services Company is looking for a Lead Compliance Officer - Markets & Communications Surveillance-Business Execution Consultant in Charlotte, NC uptown (Hybrid). W2 only
Work with the brightest minds at one of the largest financial institutions in the world. This is a long-term contract opportunity that includes a competitive benefit package! Our client has been around for over 150 years and is continuously innovating in today's digital age. If you want to work for a company that is not only a household name, but also truly cares about satisfying customers' financial needs and helping people succeed financially, apply today.
Contract Duration: 18 -24 Months with possible full time conversion Required Skills & Experience
5+ years of experience in communications surveillance, compliance, risk management, control management, investigations, trade or electronic communications monitoring, Corporate Banking, Markets, or a related discipline.
AI exposure - must be able to articulate.
Demonstrated experience evaluating complex information, identifying risk indicators, and making well-supported escalation decisions.
Strong understanding of financial services risk and control concepts, including the ability to apply policies, procedures, and regulatory expectations to communication reviews.
Excellent written communication skills, including concise case documentation, escalation summaries, and management reporting.
Strong analytical, organizational, and problem-solving abilities with close attention to detail.
Ability to manage high volumes of work, balance multiple priorities, and meet established service-level expectations.
Demonstrated ability to exercise sound judgment, protect sensitive information, and work effectively in a highly matrixed environment.
Proficiency with Microsoft Excel and PowerPoint for tracking, analysis, reporting, and presentation development.
Desired Skills & Experience
Direct experience supporting communications surveillance within Corporate Banking, Markets, Sales and Trading, Investment Banking, or related wholesale banking businesses.
Experience with market conduct risk, including risks related to manipulation, misuse of material nonpublic information, conflicts of interest, inappropriate information sharing, collusion, or other potentially prohibited conduct.
Familiarity with surveillance platforms, alert or case management tools, voice and electronic communications review, lexicon-based monitoring, or behavioral analytics.
Knowledge of applicable securities, commodities, banking, and conduct-related regulatory expectations.
Experience conducting investigations, performing quality assurance, developing surveillance procedures, or supporting issue and remediation management.
Experience preparing trend analysis, key risk and performance indicators, governance materials, and executive reporting.
Certifications: Professional risk designations (such as the GARP FRM) or relevant financial licensing are a plus.
Ability to challenge constructively, influence stakeholders, and communicate risk-based conclusions across organizational boundaries.
What You Will Be Doing
Consult on complex initiatives with broad impact and large-scale planning for Business Execution.
Review and analyze complex multi-faceted, larger scale, or longer-term Business Execution challenges that require in-depth evaluation of multiple factors including intangibles or unprecedented factors.
Contribute to the resolution of complex and multi-faceted situations requiring solid understanding of the function, policies, procedures, and compliance requirements that meet deliverables.
Strategically collaborate and consult with client personnel.
Numbers & Facts
Location
CHARLOTTE, NC
Skills
Analysis Skillsunmatched
Artificial Intelligence (AI)unmatched
Banking Servicesunmatched
Business Bankingunmatched
Business Planunmatched
Case Managementunmatched
Communication Skillsunmatched
Consultingunmatched
Corporate Bankingunmatched
Customer Escalationsunmatched
Customer Satisfactionunmatched
Detail Orientedunmatched
Documentationunmatched
Establish Prioritiesunmatched
Financial Riskunmatched
Financial Servicesunmatched
GARPunmatched
Information/Data Security (InfoSec)unmatched
Investment Servicesunmatched
Licensingunmatched
Management Reportingunmatched
Microsoft Excelunmatched
Microsoft PowerPointunmatched
Multitaskingunmatched
Organizational Skillsunmatched
Performance Metricsunmatched
Problem Solving Skillsunmatched
Procedure Developmentunmatched
Quality Assuranceunmatched
Regulationsunmatched
Regulatory Complianceunmatched
Riskunmatched
Risk Analysisunmatched
Risk Managementunmatched
Salesunmatched
Securitiesunmatched
Speech Technologyunmatched
Surveillanceunmatched
Trend Analysisunmatched
Wholesale Industryunmatched
Writing Skillsunmatched
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