Communications Surveillance & Compliance Specialist

Innova Solutions•Charlotte, NC

3d•Hybrid

About The Position

Client is seeking a Communications Surveillance & Compliance Specialist to support risk oversight, communications surveillance, and conduct monitoring activities within a complex financial services environment. This role is responsible for reviewing electronic and voice communications, identifying potential risks, escalating concerns when appropriate, and contributing to a robust control framework. The ideal candidate brings expertise in compliance, risk and controls, investigations, trade surveillance, or communications monitoring, along with the ability to assess emerging risks, including those related to AI-enabled technologies.

Requirements

Experience within communications surveillance, compliance, risk management, control management, investigations, trade surveillance, electronic communications monitoring, Corporate Banking, Markets, or related financial services disciplines.
Knowledge of market conduct risk, including market manipulation, misuse of material non-public information, conflicts of interest, information sharing concerns, collusion, and other prohibited activities.
Ability to assess complex situations, identify risk indicators, and make informed escalation decisions.
Understanding of financial services risk and control concepts and their practical application to surveillance reviews.
Analytical mindset with attention to detail and the ability to identify themes, trends, and emerging risks.
Experience managing multiple priorities in a high-volume, fast-paced environment.
Ability to handle sensitive information with discretion and exercise sound judgment.
Proficiency in Microsoft Excel and PowerPoint for data analysis, reporting, tracking, and presentation development.
Familiarity with surveillance platforms, case management tools, voice and electronic communications review tools, lexicon-based monitoring, or behavioral analytics solutions.
Knowledge of securities, commodities, banking, and conduct-related regulatory expectations.
Experience supporting investigations, quality assurance reviews, surveillance program enhancements, or issue remediation activities.
Ability to influence stakeholders and communicate effectively across a matrixed organization.
Exposure to AI technologies and the ability to discuss AI-related use cases, risks, controls, and governance considerations.

Nice To Haves

Market Risk-related licensing or industry certification is highly desirable.

Responsibilities

Review electronic and voice communications to identify potential conduct, compliance, regulatory, and reputational risks.
Perform surveillance activities across business lines, including Corporate Banking, Markets, Sales & Trading, and related functions.
Evaluate complex information, identify risk indicators, and determine appropriate escalation actions.
Conduct investigations and document findings with clear case narratives and recommendations.
Apply risk and control frameworks, policies, procedures, and regulatory requirements during surveillance reviews.
Analyze surveillance alerts, behavioral patterns, and communication trends to identify potential misconduct or control gaps.
Prepare concise documentation, management summaries, and risk reporting materials.
Partner with compliance, risk, legal, control management, and business stakeholders to resolve issues and enhance surveillance effectiveness.
Support governance activities, issue management efforts, and remediation initiatives.
Develop presentations, reports, and analysis using Microsoft Excel and PowerPoint.
Communicate risk-based conclusions and challenge stakeholders constructively when concerns are identified.
Demonstrate understanding of emerging technologies, including AI-related risks and controls, and articulate their potential impact within a regulated environment.