Senior Consultant - Capital Markets Surveillance Technology & Implementation

We assist clients with their 1st and 2nd lines of defense supervision and surveillance programs, focusing on risk areas of market abuse and manipulation, information barriers and conflicts of interest. This includes assistance to design, implement, and manage systems and processes to detect and prevent market abuse, insider trading, and other trading anomalies. This role combines regulatory knowledge, analytical skills, and technology expertise.

Work you'll do

Our practitioners work on complex trade surveillance transformation programs that help clients design, implement, enhance, and optimize systems and processes used to detect market abuse, insider trading, and other trading anomalies. This role combines capital markets knowledge, surveillance expertise, data analysis, and implementation experience across surveillance platforms, trading data, and regulatory workflows. The candidate's experience with surveillance technology, configuration, data models, and implementation delivery will be critical to helping clients modernize controls and scale surveillance capabilities.

As a Senior Consultant, you will have opportunities to:

• Serve as a client-facing workstream lead on trade surveillance technology engagements, including implementation, enhancement, configuration, and optimization activities
• Support the development of work products across the implementation lifecycle, including requirements gathering, process design, data mapping, configuration, testing, and deployment support
• Advise clients on trade surveillance platform capabilities, alert logic, surveillance workflows, and control framework enhancements
• Work with trading and market data using SQL, Python, Databricks, Informatica, or similar tools to support analytics, validation, reconciliation, and issue investigation
• Translate trading workflows, order and execution data, FIX messages, and market structure requirements into business and functional requirements for surveillance technology solutions
• Support implementation and enhancement efforts involving surveillance platforms such as Nasdaq SMARTS, TradingHub, and similar trade surveillance technologies
• Identify business, operational, regulatory, data, and technology risks associated with surveillance processes and platform implementations, and support development of mitigation strategies
• Contribute to internal initiatives, practice development, and business development efforts related to surveillance technology, product implementation, and regulatory transformation

The successful candidate would possess these skills:

• Ability to work independently and collaborate as part of a team
• Effective written and verbal communication skills
• Meticulous attention to detail and quality of work product
• Ability to build and sustain professional relationships
• Ability to lead projects or workstreams
• Ability to manage and prioritize multiple tasks in a fast-paced and dynamic environment
• Strong interpersonal skills and professional demeanor
• Ability to meet deadlines
• Ability to provide clear guidance to others

Qualifications

Candidates will have exceptional records of professional achievement, experience working in a relevant financial services industry sector, and a demonstrated capacity and enthusiasm for self-paced development. Candidates will be expected to motivate others, build constructive relationships with clients and colleagues, lead international teams, and work both independently and as part of a team. Successful candidates will demonstrate an aptitude for complex problem-solving and analytical skills and the ability to communicate complex ideas clearly and persuasively across a variety of strategic, operational, technological, and risk management matters.

Required Qualifications

• Bachelor's degree or higher
• 5+ years of experience in financial services, financial services technology, or consulting supporting capital markets, broker-dealer, investment banking, prime brokerage, wealth management, or surveillance technology environments
• 3+ years of experience in trade surveillance, communications surveillance, control room, information barriers, or first-line control functions within capital markets environments, with strong familiarity with trade and communications surveillance and information barriers solutions
• Experience implementing, configuring, enhancing, or supporting trade surveillance platforms such as Nasdaq SMARTS, TradingHub, or similar surveillance technologies, including hands-on work with alert logic, workflow configuration, system integration, data onboarding, testing, and production issue resolution
• Strong working knowledge of financial services and securities-related businesses , products, and services, including a deep understanding of traded asset classes and associated data such as orders, executions, allocations, RFQs, reference data, and market data
• Strong hands-on data analysis skills using advanced SQL and Python to query, transform, reconcile, validate, and analyze large, complex capital markets datasets
• Experience working with enterprise data and analytics platforms such as Databricks, Informatica, or similar tools used for data integration, transformation, and analysis
• Working knowledge of the Financial Information eXchange (FIX) Protocol and hands-on experience analyzing or troubleshooting electronic order and trade messages across order management, execution management, trading, and surveillance systems
• Experience supporting implementation lifecycle activities, including requirements gathering, data mapping, system configuration, testing, user acceptance testing, defect remediation, and production deployment
• Experience developing functional and technical requirements, data dictionaries, mapping specifications, test strategies, test cases, and defect-management artifacts, with hands-on participation in system integration testing, user acceptance testing, regression testing, and production validation
• Experience defining and validating surveillance data requirements, mappings, and lineage across orders, executions, RFQs, market data, reference data, communications, and employee data, including completeness, accuracy, timeliness, exception management, and source-to-target reconciliation controls
• Experience designing, calibrating, testing, tuning, or validating surveillance scenarios, models, and analytics, including threshold setting, back-testing, effectiveness assessment, performance monitoring, change control, and supporting documentation
• Knowledge of securities regulations related to market abuse, insider trading, trade surveillance, and information barriers in US or global markets
• Track record of involvement in strategic, regulatory, risk-related, technological, or operational change initiatives within capital markets environments, including leading workstreams or coordinating cross-functional project teams
• Ability to travel up to 75%, on average, based on the work you do and the clients and industries/sectors you serve
• Must be legally authorized to work in the United States without the need for employer sponsorship, now or at any time in the future.

Preferred qualifications

Candidates possessing one or more of the following qualifications is preferred:

• Experience with surveillance data models, alert generation frameworks, and case management workflows
• Experience with order management, execution management, trade capture, or regulatory reporting platforms
• Experience with cloud-based data architecture and analytics workflows in capital markets environments
• Experience with data lineage, controls, reconciliation frameworks, and exception management for surveillance data sets
• Exposure to or previous work with financial services regulators, including SEC, FINRA, CFTC, OCC, FCA, DOJ, or FRB