EI
Front Office Conduct and Surveillance Associate
eTeam Inc.
🇨🇦 Canada
On-site
7 months ago
- Excel
- PowerPoint
- Risk Management
7 months ago
Job Duration: 12 month
Location: Montreal, QC (Hybrid)
Pay Range: $43/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
- 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
- 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
- 3-7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful
Other qualifications:
- Project management experience a plus
Front Office Conduct and Surveillance Associate · eTeam Inc.