Hybrid Communications Surveillance & Compliance Pro

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

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.