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Surveillance Associate

2 months ago

New York, New York, United States Crédit Agricole CIB Limited Full time
Job Title: Surveillance Associate

Crédit 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 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 access to various communication channels and their 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 to analyze potential breaches and gauge their severity.
  • Report issues to management for further action.
Management and Reporting:

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
Requirements:
  • 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
Preferred Qualifications:
  • Working experience in electronic & voice communication surveillance
  • Understanding of different investment banking products
  • French and Spanish proficiency