Front Office Conduct and Surveillance Associate Jobs in Montreal, Canada at eTeam
Location: Montreal
Job Title: FOCS Associate ECOMM and Voice Surveillance
Job Duration: month
Location:
Montreal, QC (Hybrid)
Pay Range: $/hr without any benefits
Job Description:
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
Adaptability
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
PowerPoint/presentation skills
Language Skills
Proficiency in French and English is mandatory
Proficiency in Spanish, Portuguese or other languages a plus
Preferred qualifications:
Capital Markets, Risk Management or Compliance experience
– years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful
Other qualifications:
Project management experience a plus
Title: Front Office Conduct and Surveillance Associate
Company: eTeam
Location: Montreal, Canada
Category:
