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Front Office Conduct and Surveillance AssociateeTeam • Montreal, QC
Front Office Conduct and Surveillance Associate

Front Office Conduct and Surveillance Associate

eTeam • Montreal, QC
30+ days ago
Job type
  • Full-time
Job description

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

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Front Office Conduct and Surveillance Associate • Montreal, QC

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