Communication Surveillance Officer - (French Speaking)

  • Location:

    City of London, London

  • Sector:

    Compliance

  • Job type:

    Temporary

  • Salary:

    £300 - £650 per day

  • Contact:

    Martin Deavin

  • Job ref:

    Md987029_1540481019

  • Published:

    7 months ago

  • Duration:

    6 Months

  • Expiry date:

    2018-11-24

  • Startdate:

    ASAP

  • Consultant:

    Martin Deavin

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
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