Job Description

Job Description:

Job Title: Voice Communication Surveyors/Auditor

Location: Montréal QC H3A 2A6 - Hybrid Role

Duration: 12+ Months

Job Descriptions:

· Voice communications surveillance is responsible for monitoring and reviewing the voice communications of authorized and registered employees who conduct trading and sales activity on behalf of the bank, such as brokers, traders and sales staff.

Key Responsibilities:

· Detect, review and report potentially suspicious activities.

· Review Voice communications of bank employees for adherence to firm and regulatory rules and requirements.

· Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.

· Conducting both routine and special inquiries as required or requested.

· Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches from firm and regulatory rules

· Proactive and timely escalation of issues with adequate supporting information to the Monitoring Manager

· Provide day-to-day assistance and support to the local Surveillance teams

· Assisting in regulatory and internal investigations

· Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary

· Assist in preparing management information and reporting regarding surveillance and monitoring activities

· Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.

· Ensure the use of workflow investigation tools

· Contribute to the set-up, implementation and operation of risk prevention tools

· Contribute to the implementation of Regulatory, Group and CIB standards against money laundering, fraud, corruption, terrorism, etc.

· Comply with all applicable legal, regulatory and internal Compliance requirements, including, but not limited to Compliance policies and procedures as issued from time to time.

Skills & Qualifications:

· Bachelor’s degree or higher, in economics, banking, finance or related Studies

· Capital Markets, Risk Management or Compliance experience a plus

· 1-7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful

· Project management experience a plus.

· Professional level knowledge of securities and banking regulation.

· Knowledge of trading and business terminology.

· 3+ years' surveillance/compliance experience within a financial services/securities environment.

· Strong organizational skills – ability to multitask and prioritize based on potential impact

· Capacity to analyze issues, synthesize findings and communicate them in an effective manner;

· Excellent interpersonal skills – ability to liaise in a professional manner with all levels of staff / management

· Proven ability to work autonomously

· Communication – Communicates clearly, both verbally and in writing.

· We need a trilingual resource speaking French, English and Spanish. Bilinguals only (with Spanish) will be considered in last resort.

Technical competencies and Experience:

· Demonstrate personal initiatives, ownership and accountability

· Strong Focus on Meeting Deadlines

· Project Management – previous experience in being part of large and/or diverse projects

· Market, product & business –Is genuinely interested in financial markets and continually learning

· PowerPoint / Excel skills – very proficient in use of such tools..

About Mindlance:

Founded in 1999, Mindlance has been ranked as one of the fastest growing US Staffing firms by SIA for 9 consecutive years. We provide workforce solutions to Global 1000 companies in Technology, Engineering, Finance, Clinical Research, Scientific, Digital/Creative/Marketing space.

Mindful of the opportunity gap, we provide balanced solutions for both employers and job seekers—elevating the standards of recruitment practice to a whole new level. Our aim is to make a difference in the lives of job seekers by providing them with opportunities that broaden career horizons and expand skill sets. We take pride in being a strong driver of mindfulness and balance at workplace.

Mindlance is an equal-opportunity employer. We are committed to inclusive, equitable, barrier-free recruitment and selection processes, and a work environment. We will be happy to work with applicants requesting accommodation at any stage of the hiring process.

"$IT-INDEED"

Job Type: Full-time

Salary: $30.00-$35.00 per hour

Benefits:

• Dental care
• Extended health care
• Life insurance
• Paid time off

Schedule:

• 8 hour shift
• Day shift
• Monday to Friday

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