Communication Surveillance Compliance Officer

Role & responsibilities

The incumbent shall work within the CM&S area to implement and undertake monitoring of communications across all CACIB business lines. He/she will give input for the design of new communication monitoring strategies.

• Undertake communication monitoring using Voice and E-Communication monitoring tools to a high standard.
• Review all generated daily alerts in a timely fashion and within the service level standard.
• Carry out general surveillance tasks such as the review and analysis of alerts including any referrals and escalations
• Ensure prompt escalation of any potential breaches with full audit trail recorded in the appropriate system.
• Assist in any regulatory and internal investigations as appropriate.
• Be innovative and create ways to improve usage of the existing vendor tools. Also to help track repeat offenders and identify patterns of activity.
• Identify and escalate potential instances of Market Abuse, Anti competition, Conduct, Operational risk and other market integrity issues to relevant Compliance teams and management.
• Participate when required to the governance in place including relationship with others CACIBs sites or functions

Ensure confidentiality at all times due to privileged information access

Kindly share your profile on ashwini.parkar@ca-cib.com