Permanent Contract

Surveillance Associate

Modified on 20/08/2024

  • NEW YORK - United States Of America
  • Compliance / Financial Security
  • 2024-91998

Job description

Summary

 

Surveillance analyst is responsible for surveillance and monitoring of electronic and voice communications of CACIB and CAS-USA staff.

 

 

 

Key Responsibilities

 

This Surveillance Analyst will:

 

·       Perform routine surveillance of electronic and voice communications to ensure compliance with the applicable regulations and detect, if any, possible violations of policies, regulations and/or laws, which have occurred in the use of the firm’s communication devices;

·       Escalate exceptions to the Business line and Compliance management along with supporting documentation;

·       Prepare KPI metrics for monthly and quarterly reporting to management;

·       Maintain an audit trail of all investigations;

·       Conduct ad-hoc investigations in connection with special requests from management and HR;

·       Maintain the list of personnel with their corresponding access to various communication channels and their monitored scope;

·       Participate in testing and tuning of new and existing surveillance systems while working closely with IT;

·       Maintenance of procedures related to electronic and voice communication surveillance as needed;

·       Conduct research by working with management utilizing surveillance tools to analyze potential breaches and gauge the severity of breaches;

·       Report issues to management for further action. 

 

 

Management and Reporting

 

The Surveillance Analyst reports directly to the US Global Markets Regulatory Compliance (“GMRC”) Head of Monitoring & Surveillance and ultimately to the US Head of GMRC.

 

 

Key Internal contacts

 

 

o    Legal department;

o    Audit department;

o    Risk departments;

o    Human Resources department;

o    Operations departments;

o    Information Technology departments; and

o    Various Front Office business lines.

 

 

Key External contacts

 

 

o    Various vendors of surveillance systems

o    Bloomberg support

 

Salary Range: $100k - $120k

    • Minimum level of study
    • Bachelor Degree / BSc Degree or equivalent
    • Training / Specialization
    • Bachelor’s Degree
       Required:
      • 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 Credit Agricole CIB and participate in actions to deliver                                                                                                     
      Preferred:
      • Working experience in electronic & voice communication surveillance
      • Understanding of different investment banking products 
      • French and Spanish proficiency
    • Minimum experience level
    • 3-5 years

  • About Crédit Agricole Corporate and Investment Bank (Crédit Agricole CIB) Crédit Agricole CIB is the corporate and investment banking arm of Crédit Agricole Group, the 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2022). 8,600 employees in more than 30 countries across Europe, the Americas, Asia-Pacific, the Middle-East and North Africa, support the Bank's clients, meeting their financial needs throughout the world. Crédit Agricole CIB offers its large corporate and institutional clients a range of products and services in capital market activities, investment banking, structured finance, commercial banking and international trade. The Bank is a pioneer in the area of climate finance, and is currently a market leader in this segment with a complete offer for all its clients. For more information, please visit www.ca-cib.com Twitter: https://twitter.com/ca_cib LinkedIn: https://www.linkedin.com/company/credit-agricole-cib/ By working every day in the interest of society, we are a group committed to diversity and inclusion. All our positions are open to people with disabilities.

Crédit Agricole CIB
Crédit Agricole CIB
Crédit Agricole CIB

Crédit Agricole CIB

Surveillance Associate

Published the 20/08/2024

Permanent Contract
  • NEW YORK - United States Of America
  • Compliance / Financial Security
  • 2024-91998

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