Principal Consultant - Trade Surveillance

About the team:

Capco’s Risk, Information Security and Compliance (RISC) team partners with community and regional financial institution clients and FinTechs to optimize enterprise risk management and regulatory compliance programs, policies, and processes. Our value-added solutions are flexible and adaptable based on each client’s strategic objectives, products and services offered, and delivery channels. Our services and solutions are core agnostic and easily integrated. We supplement internal processes and skill sets with our diverse subject matter expertise and years of experience in the financial services industry. With a proven track record spanning 20+ years, our team is adept at generating effective and sustainable compliance and risk management strategies and programs to ensure ongoing compliance with applicable laws, regulations, and interagency guidance. Our ongoing monitoring of thousands of regulatory sites and pronouncements enables us to offer our valued clients actionable intelligence that effectively reduces financial, legal, regulatory, and reputational risk.

About the Job:

The Principal Consultant – Trade Surveillance position is responsible for leveraging skills and expertise when performing compliance audits, monitoring reviews and risk assessments, as well as working directly with key personnel. As a representative of Capco, you will have the opportunity to engage with compliance staff, risk management, audit, and board committees, demonstrating your experience and expertise. You will also interact regularly with key business lines and personnel to strengthen regulatory compliance and risk management programs as well as contribute toward successful audit and examination results. The role also oversees day-to-day operations and performance management of project teams and junior team members. The ideal candidate has a thorough understanding of workflows and managing the effective quality control of assessments and other related tasks.

What You’ll Get to Do:

• Review of trade surveillance alerts relating to Cross Trades, Outside Trades and PNL surveillance, among other scenarios (spoofing, banging the close) and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution
• Develop, test, and implement new surveillance scenarios and minimum standards
• Perform quality assurance and reasonability testing of surveillance controls
• Design and prepare management metrics and reports
• During the course of trade alert investigations, assess current state TS architecture / associated processes and suggest improvement, where applicable

What You’ll Bring with You:

• 7 + years of experience in either trade surveillance (in particular futures and fixed income), general compliance and/or financial services
• General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
• Strong attention to detail
• Ability to prioritize and work in a dynamic, deadline-focused environment
• Exemplary personal ethics and desire to always adhere to rules and regulations
• Ability to work well in a highly diverse team
• Demonstrated history of taking initiative
• Ability to interact and work closely with business stakeholders at all levels of seniority
• Excellent written, communication, and presentation skills (Microsoft Excel, Word, and PowerPoint skills)
• Possess strong analytical thinking and critical reasoning skills
• Bachelor’s Degree or international equivalent required

Why Capco? 

You will join a company that supports and encourages an entrepreneurial outlook and independent thinking. Capco is not about organizational charts and layers – we operate with little hierarchy because we want all employees to feel that Capco is their firm.  

We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees. 

Ready to take the Next Step 

If this sounds like you, we would love to hear from you.  This is an opportunity to make a difference and contribute to a highly successful company with a significant growth trajectory.