Voice Communication Surveyors #: 23-08802

In response to regulatory requirements, the FOCS (Front Office Control & Surveillance) team monitors

• Escalating potential issues and resolving satisfactorily
• Trading & Sales business activity and Electronic and Voice Communications, with the objective of deterring, detecting, and preventing Conduct Risk breaches
• Developing automated tools for monitoring and performing customized data analytics
• Developing systems capabilities and customizing new systems to meet firm expectations

The team is quite unique in the industry and has proved efficient in identifying potential conduct risk to managers. The team can easily follow market events and work with FO management by being located close to the trading floor.

Responsibilities

• 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
• Conducting both routine and special inquiries as required or requested.
• Detect, review and report potentially suspicious activities.
• 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.
• Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.
• Ensure the use of workflow investigation tools
• Proactive and timely escalation of issues to the Monitoring Manager
• 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.
• Provide day-to-day assistance and support to the regional Surveillance teams
• Review Voice and E-communications of bank employees for adherence to firm and regulatory rules and requirements.
• Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches of firm and regulatory rules
• Contribute to the set-up, implementation and operation of risk prevention tools

Minimum Required Qualifications

Conduct

• Consider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsure
• Excellent interpersonal and communication skills with management and transversal functions
• Demonstrate proactivity, transparency, and accountability for identifying and managing conduct risks
• Adaptability
• 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
• Ability to organize data sets
• Advanced knowledge of Excel
• Generally comfortable and adept at learning and using technology tools

Language Skills

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

Preferred Qualifications

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

Other Qualifications

• Project management experience a plus

Job #: 23-08802