Visa status: U.S. Citizens and those authorized to work in the U.S. are encouraged to apply.
Tax Terms: W2, 1099
Corp-Corp or 3rd Parties: Yes

The role is for a voice surveillance engineer to design and implement VOIP /IPT voice recorder and Nice Voice Surveillance solution.
Understanding of implement VOIP /IPT voice recorder and analytical solutions and exposure to NICE Voice Surveillance (for financial services - broker/dealer domain) is required.

Experience of at least 1 complete implementation is preferred.
The candidate should be able to
• Define surveillance solution and that ensures that it provides for the monitoring procedures and workflow as required by business
• Should be able to identify of areas of non-compliance and make recommendations for appropriate corrective action.
• Work with global Compliance Surveillance and surveillance technology teams to identify enhancements to surveillance logic, reports, and workflow through data analysis, and define requirements, new and enhanced workflow processes, and procedures that enhance the controls/quality of the monitoring and surveillance program.
• Working with technology teams and project managers to define requirements and conduct UAT testing for new or updated surveillance procedures.
• Maintain strong relationships with key stakeholders, including Compliance Advisory, Compliance Surveillance, Internal Audit, Operational Risk, and the relevant business areas to ensure their inputs are obtained in the monitoring process.

Prior work / Education:
• A minimum of 2-4 years of compliance experience preferably with a major US broker -dealer or international banking organization with institutional trading & sales, investment banking, institutional broker dealer and FCM/swap dealer businesses.
• A good understanding of applicable Federal and State laws applicable to, SEC registered broker-dealers, futures commission merchants, and swap dealers.
• Strong analytical and investigative skills and demonstrated ability to operate at a strategic level.
• Experience working with SMARTS, EQube or a similar trade surveillance software is preferable but not required.
• Working knowledge of exchange and over-the-counter sales and trading of equities, fixed income, FX or derivatives.
• Ability to work independently and effectively with senior management.
• Sound judgment in identifying risks in order to proactively escalate with relevant senior management.
• Outstanding written (drafting & editing) and spoken communication abilities.
• Excellent teamwork, interpersonal and conflict resolution skills.
• Highly organized and capable of dealing with multiple, complex projects simultaneously.
• Securities licenses preferred, but not required
• BE or international equivalent required.