Surveillance Associate
5 days ago
Crédit Agricole S.A. is seeking a Surveillance Associate to join our team in New York. As a Surveillance Associate, you will be responsible for monitoring and analyzing electronic and voice communications to ensure compliance with regulatory requirements.
Key Responsibilities:- Perform routine surveillance of electronic and voice communications to detect potential violations of policies, regulations, and laws.
- Escalate exceptions to management and provide supporting documentation.
- Prepare key performance indicators (KPIs) for monthly and quarterly reporting.
- Maintain an audit trail of all investigations.
- Conduct ad-hoc investigations in response to special requests from management and HR.
- Maintain a list of personnel with their corresponding access to various communication channels and monitored scope.
- Participate in testing and tuning of new and existing surveillance systems with IT.
- Maintain procedures related to electronic and voice communication surveillance as needed.
- Conduct research using surveillance tools to analyze potential breaches and gauge their severity.
- Report issues to management for further action.
The Surveillance Associate reports directly to the US Global Markets Regulatory Compliance (GMRC) Head of Monitoring & Surveillance and ultimately to the US Head of GMRC.
Key Internal and External Contacts:- Legal department
- Audit department
- Risk departments
- Human Resources department
- Operations departments
- Information Technology departments
- Various Front Office business lines
- Various vendors of surveillance systems
- Bloomberg support
- Minimum of 4 years in a Compliance role
- Series 7 and 24
- Strong analytic skills
- Strong organizational skills
- Team player
- Good presentation skills
- Good writing skills
- Good time management skills
- Detail oriented
- Capacity to cooperate/ work across discipline
- Capacity to take on board the strategy of Crédit Agricole CIB and participate in actions to deliver
- Working experience in electronic & voice communication surveillance
- Understanding of different investment banking products
- French and Spanish proficiency
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Surveillance Associate
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New York, New York, United States Crédit Agricole CIB Limited Full timeJob Title: Surveillance AssociateCrédit Agricole CIB Limited is seeking a Surveillance Associate to join our team. As a Surveillance Associate, you will be responsible for monitoring and analyzing electronic and voice communications to ensure compliance with regulatory requirements.Key Responsibilities:Perform routine surveillance of electronic and voice...
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