Capital Markets Surveillance Officer
Société Générale - Africa Technologies & Services
Casablanca, Morocco
il y a 3j
source : Tanqeeb

RESPONSIBILITIES :

As team member of the new EMEA CMS hub in Casablanca, your responsibilities will be :

  • Undertake :
  • Communication Surveillance using the firm’s oral and written communication monitoring tools as directed by management
  • Trade Surveillance using the firm’s monitoring tools as directed by management.
  • Support the collation and development of Management Information.
  • Support the implementation and enhancement of surveillance approaches and / or strategic solutions to meet review requirements.
  • Maintain and monitor a referential of remedial actions / recommendations arising from :
  • communication monitoring
  • trade monitoring and ensure timely satisfactory resolution of issues identified.
  • Liaison with other EMEA CMS surveillance team members
  • Liaison with Advisory Compliance officers and other key stakeholders and synergies regarding key topics
  • Assisting in regulatory and internal investigations as appropriate.
  • Maintain up to date policies and procedures supporting the performance of the local and EMEA CMS teams
  • Proactive and timely escalation of issues to management
  • Maintaining awareness of key EU / FCA regulatory rules and updates and where applicable transposing them into the : communication surveillance program OR trade surveillance program
  • PROFILE :

    Technical experience :

  • 0-5 years relevant experience or qualifications
  • Fluent in French and English
  • A generalist understanding of how private and public sides of the Financial Industry operate would be advantageous
  • Highly analytical approach in regard to performed surveillance, supported by accurate record keeping and ability to manage and prioritize multiple review requirements.
  • Respect for highly sensitive information
  • Good report writing, verbal and presentation skills
  • Other skills :

  • A keenness to work in a regulatory risk management department.
  • A keen interest and good understanding of existing and new technology
  • A quick learner keen to understand regulation, markets and internal / external technology solutions
  • A team player.
  • Someone with an innovative mindset who can think outside of the box’ but collectively, understands standard BAU.
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