Principal/ Sr. Consultant - Risk & Compliance - Trade Surveillance

Infosys Consulting; New York (NY); On-site; USD 93,500 - 154,500; Full time

Benefits offered by this job

Comprehensive benefits

Career development opportunities

Job summary

A global management consulting firm is seeking a Principal/Sr. Consultant focusing on Risk & Compliance - Trade Surveillance in New York. This mid-senior level role requires 3-5+ years of experience in capital markets with a strong background in SQL and trade surveillance tools. The consultant will collaborate with clients to devise and execute compliance strategies and support tech development for regulatory adherence.

Qualifications

• 3-5+ years as Functional Consultant in capital markets or financial services.
• Hands-on experience with tools like Actimize, SMARTS, Trading Hub.
• Proficiency in SQL and experience with large datasets.

Responsibilities

• Collaborate with compliance and tech teams on trade surveillance strategies.
• Define business requirements and support system development.
• Conduct gap assessments to propose solutions.

Skills

Functional Consultant experience

SQL proficiency

Understanding of financial products

Experience with surveillance platforms

Agile methodology familiarity

Education

3-5+ years in capital markets or financial services

Tools

Actimize

SMARTS

Power BI

Job description

Principal/ Sr. Consultant - Risk & Compliance - Trade Surveillance

Principal/ Sr. Consultant - Risk & Compliance - Trade Surveillance

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This range is provided by Infosys Consulting. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

$93,500.00/yr - $154,500.00/yr

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The Role – What You’ll Do

We are hiring at all levels including Consultant/ Senior Consultant/ Principal - Compliance & Risk. You will be part of a cross-cultural global team working on a variety of business consulting engagements such as Risk & Finance digital transformation, regulatory change management.

You will take up a range of roles in the areas of process consulting, experience design, business analysis, applied AI, tech strategy, program and change management. You will analyze problems and come up with solutions, often creative and out-of-the-box, apply business consulting frameworks and methodologies to address business problems, collaborate with client stakeholders and be responsible for the delivery of business results to clients.

You will also lead / contribute to sales pursuits, consulting offerings and internal initiatives, and participate in a variety of Firm building events.

Key Responsibilities

• Collaborate with compliance, risk, and tech teams to shape and execute trade surveillance strategies.

• Define and document business requirements, user stories, and functional specs to support system development and upgrades.

• Analyze trade and order data (SQL required) to validate inputs, map attributes, and support data reconciliation.

• Conduct gap assessments to identify control weaknesses and propose targeted solutions.

• Support end-to-end delivery - requirements, design, testing, implementation, and post-deployment support.

• Lead and coordinate UAT activities, issue resolution, and user training sessions.

• Stay ahead of market abuse regulations (e.g., MAR, MiFID II, Dodd-Frank) and drive compliance through platform enhancements.

• Work across multiple asset classes and understand how different products impact surveillance coverage.

Key Qualifications

• 3-5+ years as Functional Consultant in capital markets or financial services, with a focus on trade surveillance.

• Hands-on experience with tools like Actimize, SMARTS, Trading Hub or similar surveillance platforms.

• Proficiency in SQL and experience working with large datasets and trade/order data.

• Solid understanding of financial products: equities, fixed income, FX, and derivatives.

• Familiarity with Agile methodology and SDLC processes.

Nice to Have

• Experience with BI tools (Power BI, Tableau).

• Knowledge of OMS/EMS platforms and electronic trading flows.

About Us:

Infosys Consulting is a global management consulting firm helping some of the world’s most recognizable brands transform and innovate. Our consultants are industry experts that lead complex change agendas driven by disruptive technology. With offices in 20 countries and backed by the power of the global Infosys brand, our teams help the C-suite navigate today’s digital landscape to win market share and create shareholder value for lasting competitive advantage. To see our ideas in action, or to join a new type of consulting firm, visit us at www.InfosysConsultingInsights.com.

Infosys is an equal opportunity employer and all qualified applicants will receive consideration without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, protected veteran status, spouse of protected veteran, or disability

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Job function

• Job function

  Consulting, Business Development, and Information Technology

• Industries

  Business Consulting and Services, Banking, and IT Services and IT Consulting

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