Communication Surveillance Officer - (French Speaking)
- Providing advice and policy development
- Facilitating knowledge and awareness
- Undertaking monitoring and surveillance activities
- Performing risk assessment, review and control activities
- Managing the relations with regulators
Summary of the key purposes of the role
- To actively and promptly undertake Compliance communication monitoring of key risk areas, reporting any concerns in line with set expectations
- Perform investigations as directed by management
- Identify requirements and lead projects relating to expansion of surveillance coverage and development of strategic solutions
- Support and training to junior colleagues
- Identify and facilitate updates/amendments to core surveillance inputs
Summary of responsibilities
- Undertake communication monitoring using the firm's oral and written communication monitoring tools as directed by team management.
- Support the collation and development of Management Information.
- Lead the implementation and enhancement of surveillance approaches and /or strategic solutions to meet review requirements.
- Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified.
- Represent CMS in engagements with Advisory Compliance officers and/or the Control Room on monitoring related issues as appropriate
- Assisting in regulatory and leading internal investigations as appropriate.
- Satisfy Audit/ Inspection requirements as required.
- Proactive and timely escalation of issues to management
- Participation in departmental and team meetings, as required
- Attendance at relevant industry and trade association seminars
- Identify, analyse and communicate any impacts to surveillance activities as a result of change to regulation and/or market/company events