Senior Consultant - Capital Markets Surveillance

About the role

The Senior Consultant – Capital Markets Surveillance role within our Enterprise Operations & Risk offering assists clients with their first and second lines of defense supervision and surveillance programs. This includes assistance to design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies. The role combines regulatory knowledge, analytical skills, and technology expertise.

Responsibilities

• Serve as primary client contact or workstream lead on complex projects, liaise with client counterparts, and actively participate in discussions on project management and work delivery needs
• Lead the development of quality work products with throughout development lifecycle from initial conception to implementation
• Lead the development of quality work products with throughout development lifecycle from initial conception to implementation
• Engage with industry participants on market trends, competitive activities, and topic-specific discussions impacting the industry, potentially including with clients, industry consortiums, or trade groups or committees
• Support and jointly own internal business initiatives, including the management of resources and project economics to meet business objectives with prescribed timeframes and within budgets
• Identify, evaluate, and prioritize business, operational, regulatory, and technology risks as well as risk mitigation strategies for our clients

Qualifications

• Bachelors Degree or higher
• A minimum of 5+ years working in the financial services or consulting industry related to any of the following Financial Services/capital markets industries: investment banking, broker-dealer, prime brokerage, wealth management, or related technology service provider
• Significant experience in one or more of the following areas - Trade surveillance, communications surveillance, control room / information barriers compliance, or 1st line supervision/control. Strong familiarity with trade/communications surveillance and information barriers solutions
• Knowledge of relevant financial and securities regulations (market abuse, insider trading, information barriers) – US and global
• Ability to travel up to 75%, on average, based on the work you do and the clients and industries/sectors you serve
• Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future

Preferred qualifications

• Experience using, configuring, implementing, or supporting systems for either trade surveillance, communications surveillance, control room/information barriers, employee compliance
• Strong technical skills in data manipulation, including SQL and potentially Python
• Experience in designing trade surveillance models and analytics
• Direct hands-on experience with order management, trade capture, regulatory reporting systems/processes
• Direct experience with process design and mapping, workflow development, user acceptance testing, data mapping, migration, visualization/ analytics, system configuration and testing, status monitoring and issue resolution
• Experience aligning operational or compliance/surveillance processes to broader business or product strategies, with understanding of market structure and emerging trends
• Exposure to or previous work with major financial services regulators (e.g., SEC, FINRA, CFTC, OCC, FCA, DOJ, FRB)

Pay

$119,000 to $218,300

Schedule

Full-time