Permanent Contract

Trade Surveillance Officer

Modified on 31/07/2024

  • London - United Kingdom
  • Compliance / Financial Security
  • 2024-91702

Job description

The role requires an expert in the collection and analysis of input and output data, as well as an understanding of key and up to date Compliance matters. Knowledge of the surveillance tool ‘Actimize’ is an advantage but not a requirement. The person should be familiar with regulatory and conduct issues which are relevant to the CA CIB and CASA monitoring and surveillance framework i.e. Market Abuse and Conduct Risk.


The CM&S Framework monitors transactions and communications within all the business lines including:


· Credit and Rates, Foreign Exchange & Treasury, Debt Capital Markets, Securitisation.
· Global Investment Banking.
· Identification and inclusion of conduct risks.


Experience in the execution and completion of compliance reports, providing statistical data, performing alert classification, escalation process and detailed investigations whilst delivering high quality and timely management information reports is essential. This includes documenting evidence and validating findings.  



Proactive assessment of the compliance function and its associated risks arising from CA CIB and CASA is vital. This includes liaising with Business lines, Central Compliance, Business Compliance Advisory, Front office and relevant IT teams as required. All procedures and documents should be kept up to date to reflect the compliance plan and day to day tasks.



Communication skills (both written and verbal); strong analytical skills and a demonstrable track record of drafting reports and supplying relevant evidence that can be communicated to regulators is paramount. The incumbent should have experience of regular communications with senior managers and front office lines of business and are able to demonstrate flexibility, diplomacy, compliance ability and expertise throughout those communications.



He/she must be a self-starter who can work autonomously or as part of a team, hence the person must be motivated can demonstrate a high standard of compliance and compliance culture.



All team members report to the UK Head of Surveillance.

Key Responsibilities

The incumbent shall work within the Surveillance area to implement and perform monitoring and testing of trade alerts across all CA CIB and CASA business lines. He/she will give input for the design of new monitoring strategies.


· Help to enhance monitoring and surveillance controls that extends to CA CIB ad CASA for conduct and market abuse risks. This includes, but it not limited to:
- Monitoring of Trades, Orders, RFQs and Market Data. (Daily)
· Assist, develop and help implement new monitoring controls other than those set out above.
· Follow up on any alerts identified as requiring calibration, threshold or logic changes or general improvements.
· Compile breach / incident and audit trail reports arising from monitoring activity and report the outcome to the UK Head of Surveillance.
· Create and document detailed user guides and desktop procedures

Complément

Our commitment to you

Join our team at Crédit Agricole CIB, the corporate and investment banking arm of 10th largest banking group worldwide in terms of balance sheet size (The Banker, July 2023). We offer more than just a job.

You will be part of a dynamic and collaborative work environment where CSR is embraced in our day-to-day business operation, innovation is encouraged and diversity is celebrated.

Crédit Agricole CIB, the first French bank to have committed to the Equator Principles, is a pioneer and global leader in sustainable finance. Our commitment to sustainability and corporate responsibility means that your work will have a positive impact on our communities and the environment.

With a people-centric culture where everyone is valued, and opportunities for personal and professional growth, Crédit Agricole CIB is not just a place to work – it is where you make an impact.

Our hiring process is open to all and should you have any particular needs or you may require adjustments, please let us know.

    • Position with management
    • No
    • Minimum level of study
    • Bachelor Degree / BSc Degree or equivalent
    • Training / Specialization
    • · University degree or equivalent level of experience.
      · Understanding of basic Capital market products such as Origination, Syndication, Credit and Rates, Structured Products, FX and Treasury.· Solid controls development experience – streamlining processes and controls.· Ability to review and analyse data then present results statistically in MI format.· Proven experience of delivering high quality compliance MI reports for senior management.· Proven experience of executing compliance reports and investigations or similar regulatory reports.· Ability to track and document investigation until resolution.   · Proven experience of written communications with senior managers· Ability to defend and persuade a position.· Understanding of Market Abuse Regulation and the associated Alert Scenarios, but not limited to: Layering/Spoofing, Front Running, Wash Trades, Ramping, Cross Product/Venue Manipulation, Manipulation of Benchmarks. 
    • Compétences recherchées
    • · High curiosity and Investigative mind· Ability to detect suspicious behaviour· Results driven person who is willing to take on repetitive tasks· Energy and tenacity to work well under pressure to deliver in short deadlines.· Confident and adaptable, and possess an eye for detail whilst appreciating the big picture· Self-starter with minimal need for guidance· Ability to assimilate and to interpret information quickly· Proactive attitude in identifying trends and risks· Ability to handle a large amount of data on a daily basis· Team player who enjoys working collaboratively and communicate regularly· Strong analytical and problem solving skills with the ability to exercise sound and balanced judgment· Excel proficient· Fluent communication (oral and written) and interpersonal skills.
    • IT tools
    • · Detailed knowledge of FCA rules and good knowledge of European Legislation, as well as UK and European best practice.· IT literacy (trade capture systems and downstream feeds) risk systems, surveillance tools, databases and spreadsheets and statistics).· Report writing skills

  • 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

Trade Surveillance Officer

Published the 31/07/2024

Permanent Contract
  • London - United Kingdom
  • Compliance / Financial Security
  • 2024-91702

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