Business Execution Consultant

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.

Contract Duration: 18
-24 Months with possible full time conversion

• 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.

• 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.

• 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.