Lead Communications Surveillance & Market Conduct Risk Consultant

Location: Hybrid in Charlotte, North Carolina, United States; one onsite panel interview required.

Salary: $60–$63 per hour

Company

Provides consulting services and full-time conversion opportunities for financial services and risk management roles.

What you will do

• Review voice and electronic communications using surveillance platforms, alert management, case management tools, lexicon-based monitoring, and behavioral analytics.
• Identify market conduct risks, including market manipulation, misuse of material nonpublic information, conflicts of interest, inappropriate information sharing, collusion, and other prohibited conduct.
• Evaluate complex information, identify risk indicators, make risk-based escalation decisions, and document findings clearly.
• Prepare case documentation, escalation summaries, management reporting, trend analysis, KRIs, KPIs, governance materials, and executive-level reporting.
• Conduct investigations and quality assurance reviews, and support surveillance procedures, issue management, and remediation.
• Challenge decisions constructively and communicate risk-based conclusions across a highly matrixed organization.

Requirements

• At least 5 years of experience in communications surveillance, compliance, risk management, control management, investigations, trade surveillance, electronic communications monitoring, or related financial services risk disciplines.
• Experience supporting Corporate Banking, Markets, Sales & Trading, Investment Banking, or wholesale banking businesses.
• Knowledge of financial services risk and control concepts, securities, commodities, banking, and conduct-related regulatory expectations.
• Strong written communication, analytical, organizational, and problem-solving skills, with excellent attention to detail.
• Ability to manage high-volume workloads, multiple priorities, service-level expectations, and sensitive confidential information.
• Proficiency with Microsoft Excel and PowerPoint, plus the ability to clearly articulate AI exposure or experience.

Nice to have

• Relevant market risk license or credential, where applicable.
• Experience developing surveillance procedures or supporting issue and remediation management.

Culture & Benefits

• Hybrid work arrangement based on client requirements.
• Contract duration of 18+ months with potential for full-time conversion.
• Full-time consultants may receive medical, dental, vision, and 401(k) benefits.
• PTO, sick leave, and other benefits are provided where mandated by applicable state or local requirements.
• Selected candidates must complete additional fingerprint screening after hire.

Hiring process

• One onsite panel interview.
• Additional fingerprint screening after hire for selected candidates.