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Compliance Monitoring and Surveillance Specialist

2 months ago

London, Greater London, United Kingdom Crédit Agricole CIB Full time

Job Title: French Speaking Compliance Monitoring and Surveillance Intern

Job Summary:

We are seeking a highly motivated and detail-oriented individual to join our Compliance team as a French Speaking Compliance Monitoring and Surveillance Intern. As a key member of our team, you will be responsible for monitoring the Bank's transactions and order types on a daily basis, working collaboratively with the team to identify suspicious communications to escalate to team leads.

Key Responsibilities:

  • Monitor the Bank's transactions and order types on a daily basis, identifying potential suspicious activity and escalating to team leads as necessary.
  • Collaborate with the team to develop and implement effective surveillance strategies, utilizing various platforms including IMAD, Shield, Discovery Accelerator, Nice Compass, Nice Recording, New Case Manager, MI/KPI Tools, and Shared Drives for Audit and control documents.
  • Assist in the enhancement of the current Surveillance setup, working closely with senior compliance colleagues to develop and implement new tools and processes.
  • Produce MI/KPIs to relay back to senior Compliance management for reporting purposes, ensuring timely and accurate delivery.
  • Educate yourself on key policies and procedures, understanding the importance of internal controls and regulatory requirements.
  • Escalate suspicious trade or communications alerts at the earliest opportunity, demonstrating a proactive approach to risk management.
  • Develop a deep understanding of market abuse and manipulation, staying up-to-date with regulatory commitments and obligations.
  • Manage your workload effectively, prioritizing tasks and ensuring daily alerts are observed and analyzed in a timely fashion.

Legal and Regulatory Responsibilities:

  • Comply with all applicable legal, regulatory, and internal Compliance requirements, including Financial Crime and Fraud reporting obligations to the Money Laundering Reporting Officer (MLRO).
  • Maintain appropriate knowledge to ensure full qualification to undertake the role, completing all mandatory training as required to attain and maintain competence.
  • Educate yourself on key policies and procedures, understanding the importance of internal controls and regulatory requirements.

Requirements:

  • Bachelor Degree / BSc Degree or equivalent
  • University degree or equivalent
  • Prior short-term experience within a bank or FI would be useful but is not a prerequisite

Skills:

  • Working understanding of a risk management framework and what this means at a wholesale investment bank.
  • Strong administrative skills.
  • Excellent communication (presentational and written) skills.
  • Good interpersonal skills with strong diplomacy and tact.
  • Confident and adaptable, and possess an eye for detail.
  • Proactive, with a 'can do' attitude.
  • Ability to work well independently or as part of a team.
  • Energy and tenacity to work well under pressure to deadlines.

Technical Skills:

  • IT literacy (MS Office, databases etc).
  • Project management.
  • Analytical skills.

Language: English (fluency required), French (fluency required)