SURVEILLANCE ASSOCIATE
: Job Details :

Summary

Surveillance analyst is responsible for surveillance and monitoring of electronic and voice communications of CACIB and CAS-USA staff.

Key Responsibilities

This 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 firms 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 Reporting

The 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 contacts

o Legal department;

o Audit department;

o Risk departments;

o Human Resources department;

o Operations departments;

o Information Technology departments; and

o Various Front Office business lines.

Key External contacts

o Various vendors of surveillance systems

o Bloomberg support

Salary Range: $100k - $120k

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