About the team:

Capco’s Risk, Information Security and Compliance (RISC) team partners with community and regional financial institution clients and FinTechs to optimize enterprise risk management and regulatory compliance programs, policies, and processes. Our value-added solutions are flexible and adaptable based on each client’s strategic objectives, products and services offered, and delivery channels. Our services and solutions are core agnostic and easily integrated. We supplement internal processes and skill sets with our diverse subject matter expertise and years of experience in the financial services industry. With a proven track record spanning 20+ years, our team is adept at generating effective and sustainable compliance and risk management strategies and programs to ensure ongoing compliance with applicable laws, regulations, and interagency guidance. Our ongoing monitoring of thousands of regulatory sites and pronouncements enables us to offer our valued clients actionable intelligence that effectively reduces financial, legal, regulatory, and reputational risk.

About the Job:

The Principal Consultant – Trade Surveillance position is responsible for leveraging skills and expertise when performing compliance audits, monitoring reviews and risk assessments, as well as working directly with key personnel. As a representative of Capco, you will have the opportunity to engage with compliance staff, risk management, audit, and board committees, demonstrating your experience and expertise. You will also interact regularly with key business lines and personnel to strengthen regulatory compliance and risk management programs as well as contribute toward successful audit and examination results. The role also oversees day-to-day operations and performance management of project teams and junior team members. The ideal candidate has a thorough understanding of workflows and managing the effective quality control of assessments and other related tasks.

What You’ll Get to Do:

Review of trade surveillance alerts relating to Cross Trades, Outside Trades and PNL surveillance, among other scenarios (spoofing, banging the close) and escalate issues, where appropriate, to relevant stakeholders for investigation and resolution
Develop, test, and implement new surveillance scenarios and minimum standards
Perform quality assurance and reasonability testing of surveillance controls
Design and prepare management metrics and reports
During the course of trade alert investigations, assess current state TS architecture / associated processes and suggest improvement, where applicable

What You’ll Bring with You:

7 + years of experience in either trade surveillance (in particular futures and fixed income), general compliance and/or financial services
General knowledge of applicable regulations relating to Banking, Broker-Dealer and Futures Commission Merchant activity
Strong attention to detail
Ability to prioritize and work in a dynamic, deadline-focused environment
Exemplary personal ethics and desire to always adhere to rules and regulations
Ability to work well in a highly diverse team
Demonstrated history of taking initiative
Ability to interact and work closely with business stakeholders at all levels of seniority
Excellent written, communication, and presentation skills (Microsoft Excel, Word, and PowerPoint skills)
Possess strong analytical thinking and critical reasoning skills
Bachelor’s Degree or international equivalent required

Why Capco?

You will join a company that supports and encourages an entrepreneurial outlook and independent thinking. Capco is not about organizational charts and layers – we operate with little hierarchy because we want all employees to feel that Capco is their firm.

We offer highly competitive benefits, including medical, dental and vision insurance, a 401(k) plan, tuition reimbursement, and a work culture focused on innovation and creation of lasting value for our clients and employees.

Ready to take the Next Step

If this sounds like you, we would love to hear from you. This is an opportunity to make a difference and contribute to a highly successful company with a significant growth trajectory.

Apply for this Job

* Required

First Name *

Last Name *

Email *

Phone *

Location (City) *

Resume/CV *

Dropbox Google Drive

(File types: pdf, doc, docx, txt, rtf)

Cover Letter

Dropbox Google Drive

(File types: pdf, doc, docx, txt, rtf)

When autocomplete results are available use up and down arrows to review

+ Add another education

LinkedIn Profile

Are you authorized to work in the country in which you’re applying? *

Do you now or will you in the future, require sponsorship for employment, visa status? (E.g. H1-B, TN, E3, etc.) *

Do you know anyone or are you related to anyone who works at Capco? *

Were you referred to this role by a current Capco Employee? If yes, please confirm the employee’s Capco email address. *

Capco employee email address

Reasonable Adjustments *

Do you require reasonable accommodations or adjustments?

Reasonable adjustment details. *

If you answered yes to the previous question, please provide additional details.

Were you referred to this role by a current Capco Employee? If yes, please confirm the employee’s Capco email address. *

How did you hear about this role? *

Capco Job Candidate Privacy Notice Acknowledgement *

Capco Job Candidate Privacy Notice

Purpose and legal basis for processing

Capco’s purpose for processing this information is to assess your suitability for a role at Capco.

Where processing takes place in the UK or EU, or you are a resident of the UK or EU, the legal basis we rely on for processing your personal data is article 6(1)(b) of the European Union General Data Protection Regulation (Regulation (EU) 2016/679) (the “GDPR”) which relates to processing necessary to perform a contract or to take steps at your request, before entering a contract. The legal basis we rely on to process any information you provide as part of your enquiry or application which is special category data, such as health, religious or ethnic information, is article 9(2)(b) of the GDPR, which also relates to our obligations in employment and the safeguarding of your fundamental rights and article 9(2)(h) for assessing your work capacity as an employee.

What will we do with the information you give us?

We’ll use all the information you provide during the recruitment process to progress your application with a view to offering you an employment contract with us, or to fulfil legal or regulatory requirements if necessary.

We’ll use the contact details you give us to contact you to progress your enquiry or application. We’ll use the other information you provide to assess your suitability for the role.

This may include sharing your information with one or more of our clients, whose account you may be assigned to or considered for, including your, CV, details of your qualifications, relevant experience and skills, identification documentation, references and background and criminal record checks (where applicable).

Where applicable, we may also share your information with the data processors detailed below.

We will not share any of the information you provide with any third parties for marketing purposes.

We do not and will not sell your personal data.

What information do we ask for, and why?

We do not collect more information than we need to fulfil our stated purposes and will not keep it longer than necessary.

The information we ask for is used to assess your suitability for employment. You don’t have to provide what we ask but it may affect our assessment efforts if you don’t.

Application stage

If you use our online application system, your details will be collected by a data processor on our behalf (please see below).

We ask you for your personal details including name and contact details. We’ll also ask you about your eligibility to work in the country concerned, previous work experience, education, referees and for answers to questions relevant to the role. Our recruitment team and relevant business lead will have access to all this information.

You will also be asked to provide equal opportunities information. This is not mandatory – if you don’t provide it, it won’t affect your application. We won’t make the information available to any staff outside our recruitment team, including business leads, in a way that can identify you. Any information you provide will be used to produce and monitor equal opportunities statistics.

Shortlisting

Our recruiters and business lead shortlist applications for interview. The business leads will not be provided with your equal opportunities information if you have provided it.

Assessments

We may ask you to participate in assessment days; case studies; attend an interview (including by recorded video); or a combination of these. Information will be generated by you and by us. For example, you might complete a written assignment, or we might take interview notes. This information is held by us.

If you are unsuccessful after assessment for the role, we may ask if you would like your details retained in Capco’s own talent pool. If you say yes, we may proactively contact you should any further suitable vacancies arise.

Employment Offer

If we make an offer of employment, we’ll ask you for information so that we can carry out pre-employment checks. You must successfully complete pre-employment checks to progress to employment. We must confirm the identity of our staff and their right to work in the relevant country, and seek assurance as to their trustworthiness, integrity and reliability.

You must therefore provide:

Proof of ID (passport – if no passport, birth certificate and national insurance/social security documents)

Proof of Right to Work in country where job is based

Proof of Address

We may also perform the following, subject to local laws and practices:

Criminal Record check
Electronic ID Verification check
Credit & Bankruptcy checks, including a full 5 year address history
Global Financial Sanctions checks
Compliance checks, including Office of Foreign Assets Control (OFOC)
Directorship & Media Searches
Education & Professional Qualifications checks
Proof of Five Years Employment References check (gaps of over 1 month to be verified)

How long is the information kept for?

This will depend on whether your application is successful or not (unless we state otherwise in our ‘data processor’ section below):

Successful Recruitment Candidate Information (including CV’s applications, interview notes, psychometric test data) will be destroyed 12 months after the end of employment. Except in the United States, where candidate information is retained for 24 months. Eligibility documents (identity, right work in country) and background checks (including personal references) are typically kept for 5 years after the end of employment, or longer to comply with local laws. Please refer to your local Capco Recruitment Team for further information.

Unsuccessful Recruitment Candidate Information (including third party referee details provided by the applicant) will be destroyed 12 months after the last action unless you consent for information to be held for longer. Except in Poland, where candidate information is retained for 6 months and in the United States for 24 months.

How we make decisions about recruitment?

At the initial application stage we may automatically decline your on-line application if you fail to satisfy any relevant legal requirements for employment (e.g. You state you do not have the legal right to work in the country where the role exists).

With your specific agreement we may use on-line behavioural and cognitive assessments to help us understand your personality traits, your general mental ability and capacity for critical thinking. All results are personally analysed by one of our fully trained recruitment team.

Final recruitment decisions are made by members of our recruitment team and business leads. We take account of all the information gathered during the application process.

You can ask about decisions on your application by speaking to your contact in our recruitment team.

Your rights

As an individual, you have certain rights regarding your own personal data.

For more information on your rights, please see the ‘Your Data Protection Rights’ section of the Capco Privacy Notice: https://www.capco.com/Data-privacy-notice

Capco’s Data Protection Officer can be contacted at: ask.capco.dpo@capco.com

Do we use any data processors?

Yes – we use several processors to provide elements of our recruitment service for us as follows:

On-line Candidate Application Management Service

We use Greenhouse’s candidate application management platform. You can access their Privacy Policy here: https://www.greenhouse.io/privacy-policy.

In the US we use DocuSign to provide successful candidates with an electronic offer letter and other paperwork relating to the hiring process. You can access their Privacy Policy here: https://www.docusign.com/company/privacy-policy.

Recruitment Agencies and Talent Pools

We have relationships with a number of recruitment agencies and talent pools and where you have applied for a position with Capco through such agency or registered with a particular talent pool, you should approach them directly for information on their privacy policy and data retention periods.

Talent Optimization Platforms

We use The Predictive Index to support our candidate assessment process. You can access their Privacy Policies here: https://www.predictiveindex.com/privacy/

SMS Communications

We use OnePoint Global Ltd to assist us when we contact you by text message (SMS) to confirm interview details and to request interview feedback. You can access their Privacy Policy here: https://www.onepointglobal.com/privacy-policy/.

Video Interviews

In the UK we use Launchpad Recruits Ltd.’s recorded video interviewing platform for certain roles. You can access their Privacy Policy here: https://www.launchpadrecruits.com/privacy-policy. We instruct Launchpad to delete your personal data, including all video records, after 12 months.

Employment Vetting

Capco use the following range of providers, depending on your location and operational requirements:

First Advantage. You can access their respective Privacy Policies for candidates here: https://fadv.com/privacy-policy/

HireRight. You can access their Privacy Policy here: https://www.hireright.com/emea/legal/privacy-policy/emea-and-apac-candidate-policy

Sterling Talent Solutions. In the US their service also includes I-9 eligibility checks. You can access their Privacy Statement here: https://privacy.sterlingcheck.com/

Vero Screening. You can access their Privacy Policy here: https://veroscreening.com/privacy-policy/

Please contact your local recruitment team contact if you wish to identify the provider relevant to your application.

Notice Version: 01 FEBRUARY 2022

Voluntary Self-Identification

For government reporting purposes, we ask candidates to respond to the below self-identification survey. Completion of the form is entirely voluntary. Whatever your decision, it will not be considered in the hiring process or thereafter. Any information that you do provide will be recorded and maintained in a confidential file.

As set forth in Capco’s Equal Employment Opportunity policy, we do not discriminate on the basis of any protected group status under any applicable law.

Gender

Are you Hispanic/Latino?

Please identify your race

Race & Ethnicity Definitions

If you believe you belong to any of the categories of protected veterans listed below, please indicate by making the appropriate selection. As a government contractor subject to the Vietnam Era Veterans Readjustment Assistance Act (VEVRAA), we request this information in order to measure the effectiveness of the outreach and positive recruitment efforts we undertake pursuant to VEVRAA. Classification of protected categories is as follows:

A "disabled veteran" is one of the following: a veteran of the U.S. military, ground, naval or air service who is entitled to compensation (or who but for the receipt of military retired pay would be entitled to compensation) under laws administered by the Secretary of Veterans Affairs; or a person who was discharged or released from active duty because of a service-connected disability.

A "recently separated veteran" means any veteran during the three-year period beginning on the date of such veteran's discharge or release from active duty in the U.S. military, ground, naval, or air service.

An "active duty wartime or campaign badge veteran" means a veteran who served on active duty in the U.S. military, ground, naval or air service during a war, or in a campaign or expedition for which a campaign badge has been authorized under the laws administered by the Department of Defense.

An "Armed forces service medal veteran" means a veteran who, while serving on active duty in the U.S. military, ground, naval or air service, participated in a United States military operation for which an Armed Forces service medal was awarded pursuant to Executive Order 12985.

Veteran Status

Form CC-305

OMB Control Number 1250-0005

Expires 05/31/2023

Voluntary Self-Identification of Disability

Why are you being asked to complete this form?

We are a federal contractor or subcontractor required by law to provide equal employment opportunity to qualified people with disabilities. We are also required to measure our progress toward having at least 7% of our workforce be individuals with disabilities. To do this, we must ask applicants and employees if they have a disability or have ever had a disability. Because a person may become disabled at any time, we ask all of our employees to update their information at least every five years.

Identifying yourself as an individual with a disability is voluntary, and we hope that you will choose to do so. Your answer will be maintained confidentially and not be seen by selecting officials or anyone else involved in making personnel decisions. Completing the form will not negatively impact you in any way, regardless of whether you have self-identified in the past. For more information about this form or the equal employment obligations of federal contractors under Section 503 of the Rehabilitation Act, visit the U.S. Department of Labor’s Office of Federal Contract Compliance Programs (OFCCP) website at www.dol.gov/ofccp.

How do you know if you have a disability?

You are considered to have a disability if you have a physical or mental impairment or medical condition that substantially limits a major life activity, or if you have a history or record of such an impairment or medical condition.

Disabilities include, but are not limited to:

Autism
Autoimmune disorder, for example, lupus, fibromyalgia, rheumatoid arthritis, or HIV/AIDS
Blind or low vision
Cancer
Cardiovascular or heart disease
Celiac disease
Cerebral palsy
Deaf or hard of hearing
Depression or anxiety
Diabetes
Epilepsy
Gastrointestinal disorders, for example, Crohn's Disease, or irritable bowel syndrome
Intellectual disability
Missing limbs or partially missing limbs
Nervous system condition for example, migraine headaches, Parkinson’s disease, or Multiple sclerosis (MS)
Psychiatric condition, for example, bipolar disorder, schizophrenia, PTSD, or major depression

Disability Status

PUBLIC BURDEN STATEMENT: According to the Paperwork Reduction Act of 1995 no persons are required to respond to a collection of information unless such collection displays a valid OMB control number. This survey should take about 5 minutes to complete.

Principal Consultant - Trade Surveillance

Apply for this Job

Voluntary Self-Identification

Voluntary Self-Identification of Disability