Communications Surveillance & Compliance Specialist

A client of Innova Solutions is immediately hiring for a Communications Surveillance & Compliance Specialist

Position type: Full-time Contract (W2)
Duration: 6 months Contract to hire.
Location: Charlotte NC 3 days onsite/ 2 day remote

Overview: 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.

As a Communications Surveillance & Compliance Specialist you will:

Day to Day 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.

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

• Named One of Americas Best Employers for New Grads by Forbes (2024
• Named One of the Best Companies to Work for by U.S. News & World Report (Private Companies List 2024-2025)
• One of the Largest IT Staffing Firms in the US Ranked #3 by Staffing Industry Analysts (SIA 2024)
• One of the Largest Staffing Firms in the US Ranked #13 by Staffing Industry Analysts (SIA 2024; includes Innova Solutions Volt & HireGenics)
• Named One of the Top Ten Private Companies in Atlanta by the Atlanta Business Chronicle (2023)
• One of the Largest Certified Minority Business Enterprises (MBEs) in the United States (NMSDC 2024)
• AWS Advanced Tier Services Partner with 100 certifications

Website: Solutions is an Equal Opportunity Employer and prohibits any kind of unlawful discrimination and harassment. Innova Solutions is committed to the principle of equal employment opportunity for all employees and to providing employees with a work environment free of discrimination and harassment on the basis of race color religion or belief national origin citizenship social or ethnic origin sex age physical or mental disability veteran status marital status domestic partner status sexual orientation or any other status protected by the statutes rules and regulations in the locations where it operates. If you are an individual with a disability and need a reasonable accommodation to assist with your job search or application for employment please contact us at or . Please indicate the specifics of the assistance needed. Innova Solutions encourages all interested and qualified candidates to apply for employment opportunities. Innova Solutions (HireGenics/Volt) does not discriminate against applicants based on citizenship status immigration status or national origin in accordance with 8 U.S.C. 1324b.
The company will consider for employment qualified applicants with arrest and conviction records in a manner that complies with the San Francisco Fair Chance Ordinance the Los Angeles Fair Chance Initiative for Hiring Ordinance and other applicable laws.

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