Surveillance Analyst (Digital communication)

HireTalent - Staffing & Recruiting Firm provided pay range

This range is provided by HireTalent - Staffing & Recruiting Firm. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

CA$45.00 / hr - CA$57.00 / hr

Direct message the job poster from HireTalent - Staffing & Recruiting Firm

Contract 14 months

Hybrid 3 days onsite (Downtown Montreal)

About role

• In response to regulatory requirements, client has established a First Line of Defense Surveillance function within Global Markets (GM) business reporting into Chief Conduct and Controls Office (CCCO). GM CCCO is part of Global Markets FO, but independent from the Business and is also part of the 1st Line of Defense. The FOCS (Front Office Control & Surveillance) team monitors 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.
• Escalating potential issues and resolving satisfactorily.
• 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 :

• Review Voice and E-communications of bank employees for adherence to firm and regulatory rules and requirements.
• Detect, review and report potentially suspicious activities.
• Conducting both routine and special inquiries as required or requested.
• Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches of firm and regulatory rules.
• Proactive and timely escalation of issues to the Monitoring Manager.
• Provide day-to-day assistance and support to the regional Surveillance teams.
• Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary.
• Assist in preparing management information and reporting regarding surveillance and monitoring 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.
• Ensure the use of workflow investigation tools.
• Contribute to the set-up, implementation and operation of risk prevention tools.
• Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.
• 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.

Minimum required qualifications

Conduct

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

Market, Product and Business Experience

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

Technical Skills

• Advanced knowledge of Excel.
• Ability to organize data sets.
• Generally comfortable and adept at learning and using technology tools.

Language Skills

• Proficiency in French and English required.
• Proficiency in Spanish, 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 :

Seniority level

Associate

Employment type

Contract

Job function

Quality Assurance and Accounting / Auditing

Industries

Banking, Consumer Services, and Financial Services

Referrals increase your chances of interviewing at HireTalent - Staffing & Recruiting Firm by 2x.

Get notified about new Surveillance Analyst jobs in Greater Montreal Metropolitan Area.

Greater Montreal Metropolitan Area 4 days ago

Greater Montreal Metropolitan Area 3 days ago

Montreal, Quebec, Canada CA$110,000.00-CA$110,000.00 3 days ago

Greater Montreal Metropolitan Area 2 days ago

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

J-18808-Ljbffr