Lead Communications Surveillance & Market Conduct Risk Consultant

Role: Communications Surveillance Lead – Compliance & Market Risk
Work Location: Charlotte, NC 401 S Tryon St-141753
Work Schedule: Hybrid per client requirements
Interview Process: 1 onsite panel interview
Duration: 18+ months
Fulltime Conversion: Yes – potential for conversion

Additional Screening: Selected candidates will be required to complete an additional fingerprint screening after hire.

Role Overview

We are seeking an experienced Communications Surveillance Lead with a strong background in financial services compliance, risk management, communications surveillance, investigations, or market conduct risk.

The ideal candidate will have experience reviewing complex communications and risk information, identifying potential misconduct or regulatory concerns, making risk-based escalation decisions, and documenting findings clearly. Experience supporting Corporate Banking, Markets, Sales & Trading, Investment Banking, or other wholesale banking businesses is highly preferred.

Candidates should also be able to clearly articulate their exposure to Artificial Intelligence (AI) and its application within surveillance, compliance, risk, or related functions.

Required Qualifications

• 5+ years of experience in one or more of the following areas:

  • Communications Surveillance

  • Compliance

  • Risk Management

  • Control Management

  • Investigations

  • Trade Surveillance

  • Electronic Communications Monitoring

  • Corporate Banking

  • Markets / Capital Markets

  • Related financial services risk disciplines

• Experience evaluating complex information, identifying risk indicators, and making well-supported escalation decisions.

• Strong understanding of financial services risk and control concepts, including applying policies, procedures, and regulatory expectations to communication reviews.

• Strong written communication skills with experience preparing:

  • Case documentation

  • Escalation summaries

  • Management reporting

• Strong analytical, organizational, and problem-solving skills with excellent attention to detail.

• Ability to manage high-volume workloads, multiple priorities, and established service-level expectations.

• Ability to exercise sound judgment and appropriately handle sensitive and confidential information.

• Experience working effectively within a highly matrixed organization.

• Proficiency with Microsoft Excel and PowerPoint for analysis, tracking, reporting, and presentations.

• Ability to clearly articulate AI exposure/experience.

• Relevant Market Risk license/credential, where applicable to the position.

Preferred Qualifications

• Direct communications surveillance experience supporting:

  • Corporate Banking

  • Markets

  • Sales & Trading

  • Investment Banking

  • Wholesale Banking

• Experience with market conduct risk, including identifying risks involving:

  • Market manipulation

  • Misuse of Material Nonpublic Information (MNPI)

  • Conflicts of interest

  • Inappropriate information sharing

  • Collusion

  • Other potentially prohibited conduct

• Familiarity with surveillance platforms, alert management, and case management tools.

• Experience reviewing voice and electronic communications.

• Knowledge of lexicon-based monitoring and/or behavioral analytics.

• Knowledge of securities, commodities, banking, and conduct-related regulatory expectations.

• Experience conducting investigations and/or Quality Assurance (QA) reviews.

• Experience developing surveillance procedures or supporting issue and remediation management.

• Experience preparing:

  • Trend analysis

  • Key Risk Indicators (KRIs)

  • Key Performance Indicators (KPIs)

  • Governance materials

  • Executive-level reporting

• Ability to constructively challenge decisions, influence stakeholders, and communicate risk-based conclusions across organizational boundaries.

Pay Range: $60 - $63 The specific compensation for this position will be determined by a number of factors, including the scope, complexity and location of the role as well as the cost of labor in the market; the skills, education, training, credentials and experience of the candidate; and other conditions of employment. Our full-time consultants have access to benefits including medical, dental, vision and 401K contributions as well as any other PTO, sick leave, and other benefits mandated by appliable state or localities where you reside or work.

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