Capital Markets Compliance Consultant/Officer

Large Banking Client

Duration: 6-12 months - potential to extend and/or convert FTE

Location: Charlotte, NC

Top Requirements:

1. Previous experience in compliance within the markets/trading industry, preferably with knowledge of regulations governing trading activities.
2. Exceptional writing skills to craft comprehensive supervisory procedures.
3. Background in regulatory compliance with a strong understanding of compliance frameworks.
4. Familiarity with corporate or surveillance backgrounds, preferably from an investment management bank/institution.
5. Proficiency in Microsoft Word.

Plusses:

1. SharePoint or OpenText experience.

Job Description:

1. Develop and write supervisory procedures for the Market Conduct Program.
2. Ensure procedures align with regulatory requirements and industry best practices.
3. Conduct research to stay updated on market regulations and compliance standards.
4. Assist in building out the surveillance officer model and implementing effective monitoring strategies.
5. Review transaction records and conduct audits to detect potential violations of market regulations.
6. Investigate suspicious activities and report findings to regulatory authorities as necessary.
7. Maintain and update supervisor procedure documents to reflect changes in regulations or internal processes.
8. Communicate effectively with stakeholders to ensure understanding and compliance with procedures.