Auditor Jobs

Responsibilities:

• Proactive and timely escalation of issues to the Monitoring Manager
• Conducting both routine and special inquiries as required or requested.
• Review Voice and E-communications of bank employees for adherence to firm and regulatory rules and requirements.
• Detect, review and report potentially suspicious activities.
• Ensure the use of workflow investigation tools
• Assist in preparing management information and reporting regarding surveillance and monitoring activities
• Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary
• Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.
• Contribute to the set-up, implementation and operation of risk prevention tools
• Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time.
• Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.
• Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches of firm and regulatory rules
• Provide day-to-day assistance and support to the regional Surveillance teams

Minimum required qualifications

• Conduct
• Adaptability
• Excellent interpersonal and communication skills with management and transversal functions
• Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure
• Demonstrate proactivity, transparency, and accountability for identifying and managing conduct risks
• Be a role model, supporting and fostering a culture of good Conduct

Market, Product and Business Experience

• Knowledge of trading and business terminology is a significant advantage
• Knowledge of the capital markets
• Capacity to analyze issues, synthesize findings and communicate them in an effective manner
• Strong organizational skills – ability to multitask and prioritize based on potential impact
• Proven ability to work autonomously

Technical Skills

• PowerPoint/presentation skills
• Generally comfortable and adept at learning and using technology tools
• Ability to organize data sets
• Advanced knowledge of Excel

Language Skills

• Proficiency in Spanish required
• Proficiency French, Portuguese or other languages a plus

Preferred qualifications:

• Capital Markets, Risk Management or Compliance experience a plus
• 1-7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful

Other qualifications:

• Project management experience a plus