Overview

Summary of the key purposes of the role – Minimum 3 Statements to be identified:

  • Perform Communication monitoring ( written and Audio) on certain employee populations
  • Escalation of issues and case management
  • Liason with Advisory and Trade Surveillance colleagues

Key responsibilities:

  • Undertake communication monitoring using the firm’s oral and written communication monitoring tools as directed by team management.
  • Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified.
  • Liaison with advisory compliance officers and/or the Control Room on monitoring related issues as appropriate
  • Assisting in regulatory and internal investigations as appropriate.
  • Active participation in investigations into incidents arising within the business lines as required
  • Proactive and timely escalation of issues to management
  • Maintaining a detailed working knowledge of the FCA rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
  • Maintaining awareness of key EU / FCA regulatory updates and analysing their impact upon the electronic communication monitoring programme’
  • Participation in departmental and team meetings, as required
  • Attendance at relevant industry and trade association seminars

COMPETENCIES AND WORK EXPERIENCE:

  •  Compliance Monitoring experience relating to capital markets and investment banking activities
  • Fluent English, French speaker with other language skills desirable
  • Analytical skills
  • Presentation skills
  • Report-writing skills
  • Attention to detail
  • Flexibility and ability to manage multiple assignments

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