Risk Review Compliance Officer, Ecomms Monitoring
Main Responsibilities:
On-going performance of the cyclical monitoring and thematic/topical/desk review programmes
Promptly Investigate and clearly communicate issues arising from the cyclical monitoring and review activities, involving advisory compliance officers as required, follow issues through to full resolution with the business lines.
Maintain and monitor a database of remedial actions/recommendations arising from trade surveillance, to ensure timely and satisfactory resolution of issues identified
Preparation of written reports for submission to the Risk Assessment Review Unit Senior Compliance Officer and relevant Desk Head(s), as required
Liaison with advisory compliance officers and/or the Control Room on monitoring related issues
Undertake focused electronic communication monitoring on key focus areas as required.
Assisting in regulatory and internal investigations as assigned by the Risk Assessment Review Unit Senior Compliance Officer or the Head of the Financial Crime Unit
Proactive and timely escalation of issues to the Risk Assessment Review Unit Senior Compliance Officer, ensuring regular and frequent communication on such issues
Active participation in investigations into incidents arising within the business lines as required
Maintaining a detailed working knowledge of the FCA rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
Involvement in delivery of items in the annual Compliance Plan, which are relevant to the coverage of the team, in a timely manner
Performance of team permanent supervision controls
Maintaining awareness of key EU / FCA regulatory updates and analysing their impact upon the electronic trade surveillance monitoring programme
Skills required:
- Strong understanding of Risk Reviews and the development of controls.
- Experience in electronic communications monitoring.
- Excellent understanding of current regulatory change
- Strong verbal and written communication skills
- Fluent in English and French
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