Communications Surveillance Analyst

Title: Communications Surveillance Analyst

Location: 401 S Tryon St Charlotte, NC

Duration: 18 months

Work Engagement: W2

Work Schedule: 3 days in office/2 days remote

Benefits on offer for this contract position: Health Insurance, Life insurance, 401K and Voluntary Benefits

Summary:

We are seeking a Communications Surveillance Analyst to join its Compliance and Operational Risk organization. This role is responsible for monitoring, reviewing, and investigating electronic and voice communications to identify potential regulatory, conduct, reputational, and business risks across Corporate Banking, Markets, and other wholesale banking businesses.

The ideal candidate will possess strong risk and control knowledge, exceptional analytical and investigative skills, and the ability to evaluate complex situations, identify potential misconduct, and make well-supported escalation decisions. This position partners closely with Compliance, Risk, Legal, and business stakeholders to ensure adherence to regulatory requirements and internal policies while supporting a strong culture of integrity and risk management.

Responsibilities:

• Conduct surveillance reviews of electronic and voice communications to identify potential conduct, compliance, regulatory, and reputational risks.

• Evaluate surveillance alerts, case information, and supporting evidence to determine appropriate escalations and resolutions.

• Identify patterns, trends, and emerging risk indicators across communications activity.

• Document investigations, case decisions, and escalation summaries with clear, concise rationale.

• Apply regulatory requirements, policies, procedures, and risk management frameworks during communication reviews and investigations.

• Escalate identified concerns related to market conduct, information barriers, conflicts of interest, misuse of material nonpublic information, and other potentially prohibited activities.

• Collaborate with Compliance, Risk, Legal, Audit, and business partners on investigations, issue remediation, and risk mitigation activities.

• Support the development and enhancement of surveillance procedures, controls, monitoring methodologies, and governance reporting.

• Prepare management reporting, metrics, trend analyses, and executive-level materials regarding surveillance outcomes and key risk indicators.

• Contribute to quality assurance reviews and continuous improvement initiatives within the surveillance program.

Qualifications:

• Applicants must be authorized to work for ANY employer in the U.S. This position is not eligible for visa sponsorship.

• 5+ years of experience in communications surveillance, compliance, risk management, control management, investigations, trade or electronic communications monitoring, Corporate Banking, Markets, or a related discipline.

• Demonstrated experience evaluating complex information, identifying risk indicators, and making well-supported escalation decisions.

• Strong understanding of financial services risk and control concepts, including the ability to apply policies, procedures, and regulatory expectations to communication reviews.

• Excellent written communication skills, including concise case documentation, escalation summaries, and management reporting.

• Strong analytical, organizational, and problem-solving abilities with close attention to detail.

• Ability to manage high volumes of work, balance multiple priorities, and meet established service-level expectations.

• Demonstrated ability to exercise sound judgment, protect sensitive information, and work effectively in a highly matrixed environment.

• Proficiency with Microsoft Excel and PowerPoint for tracking, analysis, reporting, and presentation development.

• Direct experience supporting communications surveillance within Corporate Banking, Markets, Sales and Trading, Investment Banking, or related wholesale banking businesses. (preferred)

• Experience with market conduct risk, including risks related to manipulation, misuse of material nonpublic information, conflicts of interest, inappropriate information sharing, collusion, or other potentially prohibited conduct.

• Familiarity with surveillance platforms, alert or case management tools, voice and electronic communications review, lexicon-based monitoring, or behavioral analytics.

• Knowledge of applicable securities, commodities, banking, and conduct-related regulatory expectations.

• Experience conducting investigations, performing quality assurance, developing surveillance procedures, or supporting issue and remediation management.

• Experience preparing trend analysis, key risk and performance indicators, governance materials, and executive reporting.

• Ability to challenge constructively, influence stakeholders, and communicate risk-based conclusions across organizational boundaries.