Job Title: FOCS Associate ECOMM and Voice SurveillanceJob Duration: monthLocation: Montreal, QC (Hybrid)Pay Range: $/hr without any benefitsJob 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 rulesProactive and timely escalation of issues to the Monitoring ManagerProvide day-to-day assistance and support to the regional Surveillance teamsEnsure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessaryAssist in preparing management information and reporting regarding surveillance and monitoring activitiesAssist in the enhancement of existing processes and develop recent processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.Ensure the use of workflow investigation toolsContribute to the set-up, implementation and operation of risk prevention toolsContribute 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 qualificationsConductExcellent interpersonal and communication skills with management and transversal functionsAdaptabilityBe a role model, supporting and fostering a culture of good ConductDemonstrate proactivity, transparency, and accountability for identifying and managing conduct risksConsider the implications of your actions on colleagues, partners and clients before making decisions, and escalate issues to your manager when unsureMarket, Product and Business ExperienceKnowledge of the capital marketsKnowledge of trading and business terminology is a significant advantageStrong organizational skills – ability to multitask and prioritize based on potential impactCapacity to analyze issues, synthesize findings and communicate them in an effective mannerProven ability to work autonomouslyTechnical SkillsAdvanced knowledge of ExcelAbility to organize data setsGenerally comfortable and adept at learning and using technology toolsPowerPoint/presentation skillsLanguage SkillsProficiency in French and English is mandatoryProficiency in Spanish, Portuguese or other languages a plusPreferred qualifications:Capital Markets, Risk Management or Compliance experience- years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpfulOther qualifications:Project management experience a plus #J-18808-Ljbffr

📌 Warehouse Associate (Montreal)
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