Communications Surveillance & Compliance Specialist

Innova Solutions Inc.; Charlotte (NC); Hybrid; USD 83,000 - 90,000; Full time

Benefits offered by this job

Medical coverage

Dental coverage

Vision coverage

401(k)

Health savings account (HSA) & FSA

Life Insurance

Pet Insurance

Disability insurance

Paid time off

Job summary

Innova Solutions is seeking a Communications Surveillance & Compliance Specialist in Charlotte, NC. The role supports risk oversight, surveillance of electronic and voice communications, and the enforcement of control frameworks across multiple financial services lines.

Ideal candidates bring expertise in compliance, risk and controls, investigations, or trade surveillance, with familiarity with AI-enabled risks and governance considerations. Hybrid onsite/remote work is offered.

Qualifications

• Experience in communications surveillance, compliance, risk management, or investigations.
• Knowledge of market conduct risk and regulatory expectations.
• Ability to assess complex situations and escalate appropriately.
• Proficiency with Excel and PowerPoint for reporting.
• Experience with surveillance platforms or case-management tools.
• Ability to communicate across a matrixed organization.

Responsibilities

• Review electronic and voice communications to identify conduct and regulatory risks.
• Perform surveillance across Corporate Banking, Markets, and Sales & Trading.
• Evaluate information, identify risk indicators, and determine escalation actions.
• Conduct investigations and document findings with clear narratives.
• Apply risk frameworks and regulatory requirements during surveillance reviews.
• Analyze alerts and trends to identify misconduct or control gaps.
• Prepare management summaries and risk reporting materials.
• Partner with compliance, risk, legal, control management, and stakeholders to resolve issues.
• Support governance, issue management, and remediation initiatives.
• Develop presentations and analyses in Excel and PowerPoint.
• Communicate risk-based conclusions to stakeholders.
• Discuss AI-related risks and governance considerations.

Tools

Excel

PowerPoint

Job description

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.

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.

The ideal candidate will have

• 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.

This position is only open to applicants who can be engaged on a W-2 basis. 1099 contractors and Corp-to-Corp arrangements will not be considered for this position.

Pay Range and Benefits

Pay Range*: $60- $65 per hour

*Pay range offered to a successful candidate will be based on several factors, including the candidate's education, work experience, work location, specific job duties, certifications, etc.

Benefits: Innova Solutions offers benefits( based on eligibility) that include the following: Medical & pharmacy coverage, Dental/vision insurance, 401(k), Health saving account (HSA) and Flexible spending account (FSA), Life Insurance, Pet Insurance, Short term and Long term Disability, Accident & Critical illness coverage, Pre-paid legal & ID theft protection, Sick time, and other types of paid leaves (as required by law), Employee Assistance Program (EAP).

About Innova Solutions

Founded in 1998 and headquartered in Atlanta, Georgia, Innova Solutions employs approximately 50,000 professionals worldwide and reports an annual revenue approaching $3 Billion. Through our global delivery centers across North America, Asia, and Europe, we deliver strategic technology and business transformation solutions to our clients, enabling them to operate as leaders within their fields.

Recent Recognitions

• Named One of America’s 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

Innova 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 your job search or application for employment, please contact us at [e-mail] or [phone]. 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.