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Compliance Surveillance Consultant

3 months ago

Manhattan, United States Michael Page Full time

  • Contract Role located in Midtown New York City.
  • Contract until the end of the year, offering a competitive pay rate.

    About Our Client

    Our client is a major international banking institution located in Midtown New York City, providing a comprehensive range of financial services, including corporate and investment banking, asset management, and specialized financial solutions. They are actively seeking one (1) Compliance Surveillance Consultant to assist their US Global Markets Regulatory Compliance Team until the end of the year.

    Job Description

    The Compliance Surveillance Consultant will be responsible for the following:

  • Conduct routine surveillance of electronic and voice communications to detect and report potential policy or regulatory violations.
Escalate exceptions to the Business line and Compliance management with supporting documentation.Prepare and present KPI metrics for monthly and quarterly reporting to management.Maintain an audit trail of all investigations and ensure proper documentation.Collaborate with IT on testing and tuning surveillance systems and maintain procedures related to communication surveillance.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

The Successful Applicant

The Compliance Surveillance Consultant should have the following background:

FINRA Series 7 and 24 certifications are mandatory.Bachelor's Degree with a minimum of 4 years in a Compliance role.Strong analytical, organizational, and time management skills to effectively handle surveillance tasks and investigations.Experience in electronic and voice communication surveillance within an investment banking environment.Proficiency in French and Spanish is preferred, along with strong communication and presentation skills.

What's on Offer

The offer for the successful Compliance Surveillance Consultant candidate includes a competitive pay rate and benefits for the duration of this temporary position until the end of the year, with possibility for contract extension.