Senior Consultant – Trade Surveillance

About the team:

Capco Managed Services team partners with financial institutions to provide scalable solutions for our clients to run their operations effectively and efficiently, while in parallel, delivering strategic and transformative advisory services. Our value-added solutions enabled by AI and Automation are flexible and adaptable based on each client’s strategic objectives, products and services offered, as well as delivery channels. Our services and solutions are core agnostic and easily integrated. We supplement internal processes and talent with our diverse subject matter expertise and years of experience in the financial services industry. With a proven track record spanning 25+ years, our team is adept in delivering sustainable results, implementing quality control into all programs, adhering to strict SLAs, aligning delivery incentive with our clients, and delivering continuous improvement and value beyond cost efficiency.

About the Job: 

The Senior 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:

• Act as a point of contact for our client’s trade surveillance and monitoring programs
• Help drive innovation and continuous improvement within our client’s global compliance monitoring program through management of strategic projects, as well as the development and implementation of global frameworks and best practices
• Develop key performance metrics and proactively identify opportunities to optimize the controls and data that support trade surveillance
• Undertake quality assurance on analyst reviews, ensuring work is of the highest quality and driving surveillance training priorities
• Act as a regional contact point and subject matter expert for surveillance product owners and technology teams
• Ensure trade surveillance data is accurate, complete and timely for the effective operation of trade surveillance systems
• Perform recurring and ad-hoc metrics reporting and analysis using Word, Excel, PowerPoint and other tools
• Perform issue and risk management analysis

What You’ll Bring with You:

• 5+ years of professional experience in a trade surveillance or front office facing role
• Experience leading or managing teams required
• Strong written and verbal communication skills
• Fixed Income experience with detailed market and global product related knowledge highly preferred
• Experience in monitoring the effectiveness of trade surveillance systems and processes (e.g. NASDAQ SMARTS)
• Experience with calibration of trade surveillance applications
• Time management skills and ability to complete tasks within tight deadlines
• Experience managing surveillance change process, such as ensuring business and functional requirements are met, according to the governance framework
• Fluency with MS office tools, particularly Excel and PowerPoint
• Bachelor’s Degree or international equivalent highly preferred

Why Capco? 

A career at Capco is a chance to help reshape the competitive landscape in financial services. We launch new banks, transform existing ones, and help our clients navigate complex change. As consultants, we work on the front-end business design all the way through to technology implementation. 

We are the largest Financial Services focused consultancy in the world, serving everyone from global banks to emerging FinTechs, from strategy through digital transformation, design, business consulting, data and analytics, cyber, cloud, technology architecture, and engineering. 

Capco is a young and growing firm. We maintain an entrepreneurial spirit and growth mindset and have minimal bureaucracy. We have no internal silos that get in the way of your career opportunities or ability to focus on our clients and make a difference to the business. We offer the opportunity for everyone to learn rapidly, take on tough challenges, and get promoted quickly. We take pride in our creative, collaborative, diverse, and inclusive culture, where everyone can #BYAW.  

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.