The primary function of the role is to support the business requirements for electronic communications monitoring and surveillance, including social media monitoring.

• Monitoring of firms professional’s communications using the communications surveillance tool to detect any instances of market misconduct, usage of unapproved communication platforms or violation of internal policies/regulatory requirements.
• Responsible for maintaining procedures related to overseeing electronic communications monitoring and enhancing oversight mechanisms.
• Leading the ongoing expansion and calibration in related projects to support the expansion of surveillance scope to include additional communication channels and behaviors.
• Proactively recommend opportunities to leverage technology including to drive the compliance program and enhance insight and efficiency, and work with the Compliance Team in Canada to support this.
• Review and validate compliance of the organisation’s Social Media Policy by reviewing Sales and Marketing employee LinkedIn and other social media posts and sales communications, to detect non-compliance.
• Identify any areas on non-compliance with other programs under scope, and report accordingly to Management.
• Support the creation or update of assigned policies and procedures and stay up to date on regulatory matters related to changes, and analyze their impact.
• Reviewing exceptions – Identify, track, resolve and report compliance exceptions in-line with internal policy and regulatory requirements.
• Escalating issues to business partners, including follow up communication with senior stakeholders.
• Review of alert volume and patterns regularly to identify and minimize false positives, ensuring efficient detection of potential violations.
• Develop and implement bespoke monitoring capabilities tailored to the evolving business needs.
• Supporting the development and maintenance of management information reports, metrics and dashboards based on complex data sets.
• Reviewing and drafting internal procedures, policies and guidance where required.

• 8+ years of prior experience in compliance, including a surveillance role at a financial services industry or asset management firm.
• Must have French language proficiency (reading, writing and speaking);
• Experience of designing, testing and calibrating surveillance models and parameters.
• The ability to work and prioritize independently coupled with the judgement to involve management with issues as needed.
• Entrepreneurial inclination – ability to work alone and act as a business specialist.
• Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables;
• Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.