Types of Jobs - Corporate & Investment Banking
Compliance Monitoring and Surveillance Executive
Communication monitoring is a key function within the Global Markets Regulatory Compliance (GMRC) Monitoring and Surveillance (CM&S) Team. Appropriately escalating suspicious communications is a key importance for the role. The CM&S is responsible for reviewing, implementing, monitoring and testing of Electronic communications and Voice Communications across CA CIB and (COMPANY NAME) SA, London Branch.
The role requires an expertise in the collection and analysis of E-Communication data, as well as a sound understanding of Compliance matters. The person should be familiar with regulatory and conduct issues which are relevant to the CA CIB and CASA monitoring and surveillance framework i.e. Market Abuse and Conduct Risk.
The CM&S Framework monitors communications and transactions within all the business lines including:
· Global Markets Division.
· Treasury (including LIBOR submissions).
· Recorded Front Office staff in other divisions such as SFI, DOD, CLF and ITB.
Experience in the execution and completion of compliance reports, providing statistical data, performing first level alert classification, escalation process and detailed investigations whilst delivering high quality and timely management information reports is essential. This includes documenting evidence and validating findings.
Proactive assessment of the compliance function and its associated risks arising from CA and CACIB is vital. This includes liaising with GMRC Advisory, Financial Security, Fraud, Legal, Risk, Front Office and relevant IT teams where appropriate. All procedures and documents should be kept up to date to reflect the compliance plan and day to day tasks.
Communication skills (both written and verbal); strong analytical skills and a demonstrable track record of drafting reports and supplying relevant evidence that can be communicated to regulators is paramount. The incumbent should have experience of regular communications with senior managers and front office lines of business and are able to demonstrate flexibility, diplomacy, compliance ability and expertise throughout those communications.
He/she must be a strong team player and demonstrate a high standard of compliance and compliance culture.
All team members report to the Head and Deputy Head of the UK Surveillance Team and are an essential part of GMRC and London Compliance and Financial Security (London CPL&FS).
The incumbent shall work within the CM&S area to implement and undertake monitoring of communications across all CA CIB and CASA business lines. He/she will give input for the design of new communication monitoring strategies.
· Undertake communication monitoring using Voice and E-Communication monitoring tools to a high standard.
· Carry out general surveillance tasks such as the review and analysis of alerts including any referrals and escalations.
Europe, United Kingdom
Minimal education level
Bachelor Degree / BSc Degree or equivalent
Academic qualification / Speciality
* University degree or equivalent level of experience.
· Compliance related Professional Training qualification (e.g. FINRA, CISI).
· Understanding of basic Capital market products such as Origination, Syndication, Credit and Rates, Structured Products, FX and Treasury.
· Solid controls development experience - streamlining processes and controls.
· Ability to review and analyse data then present results statistically in MI format.
· Proven experience of delivering high quality compliance MI reports for senior management.
· Proven experience of executing compliance reports and investigations or similar regulatory reports.
· Ability to track and document investigation until resolution.
· Proven experience of written communications with senior managers
· Ability to defend and persuade a position.
· Experience gained working within Audit, Finance, Operations, Risk, Front and/or Middle Office.
· Solid working understanding of a compliance risk management framework
· Surveillance Monitoring experience
· Knowledge of trading terms and abbreviations
· Working experience of financing bank products such as Loans, Client Coverage, Debt Syndications, Distribution, Structured Finance, Project Finance, and Trade Finance.
· Prior experience in eCommunications surveillance, market abuse, market conduct or compliance within an investment bank
· Familiarity with regulations specific to electronic communication surveillance
· High curiosity and Investigative mind
· Ability to detect suspicious behaviour
· Results driven person not afraid of taking apparent repetitive tasks
· Energy and tenacity to work well under pressure to deliver in short deadlines.
· Confident and adaptable, and possess an eye for detail whilst appreciating the big picture
· Self-starter with minimal need for guidance
· Ability to assimilate and to interpret information quickly
· Proactive attitude in identifying trends and risks
· Ability to handle a large amount of data on a daily basis
· Team player who enjoys working collaboratively and communicate regularly
· Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment
· Fluent communication (oral and written) and interpersonal skills.
· Energy and drive. Works well under pressure
· Confidence to communicate effectively and persuasively with the Senior management
· Ability to work with a variety of people and build smooth working relationships with other departments and external providers
Technical skills required
· Detailed knowledge of FCA rules and good knowledge of European Legislation, as well as UK and European best practice.
· Report writing skills
· Visual Basic
· Good understanding of the regulatory and legal requirements for internal investigations as well as the compliance/ Regulatory topics in the Financial Services industry
· Ability to develop in-depth investigative, technical and analytical skills.
Ability to perform searches using external sources and tools
|Posted on:||25 Nov 2022|
|Industry:||Banking / Finance|