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
- 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