Surveillance Associate
Crédit Agricole CIB - New York City, NY
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SummarySurveillance analyst is responsible for surveillance and monitoring of electronic and voice communications of CACIB and CAS-USA staff.Key ResponsibilitiesThis Surveillance Analyst will:Perform routine surveillance of electronic and voice communications to ensure compliance with the applicable regulations and detect, if any, possible violations of policies, regulations and/or laws, which have occurred in the use of the firm's communication devices;Escalate exceptions to the Business line and Compliance management along with supporting documentation;Prepare KPI metrics for monthly and quarterly reporting to management;Maintain an audit trail of all investigations;Conduct ad-hoc investigations in connection with special requests from management and HR;Maintain the list of personnel with their corresponding access to various communication channels and their monitored scope;Participate in testing and tuning of new and existing surveillance systems while working closely with IT;Maintenance of procedures related to electronic and voice communication surveillance as needed;Conduct research by working with management utilizing surveillance tools to analyze potential breaches and gauge the severity of breaches;Report issues to management for further action.Management and ReportingThe Surveillance Analyst reports directly to the US Global Markets Regulatory Compliance ("GMRC") Head of Monitoring & Surveillance and ultimately to the US Head of GMRC.Key Internal contactsLegal departmentAudit departmentRisk departmentsHuman Resources departmentOperations departmentsInformation Technology departmentsVarious Front Office business linesKey External contactsVarious vendors of surveillance systemsBloomberg supportQualifications/Education Required:Bachelor's DegreeExperience Required:Minimum of 4 years in a Compliance roleWorking experience in electronic & voice communication surveillance preferredSpecialist Training Required:Series 7 and 24 Competencies Required:Strong analytic skillsStrong organizational skillsTeam player Good presentation skills Good writing skills Good time management skills Detail oriented Capacity to cooperate / work across discipline Capacity to take on board the strategy of Credit Agricole CIB and participate in actions to deliver Understanding of different investment banking products preferred Skills & Knowledge Requirements:French and Spanish proficiency preferred
Created: 2024-09-19