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Description of the Business Line or Department
CMS (Compliance) performs surveillance of employee's communication, using a variety of tactical solutions and approaches to indentify conduct potentially contrary to regulatory and/or company policy.
Summary of the key purposes of the role
Support the infrastructure development of Communication Surveillance by conducting analysis, testing and implementation of surveillance approaches and tactical solutions
Management and control of key surveillance inputs
Development and presentation of MI
Summary of responsibilities
Collation and development of Management Information including KPI/KRI and project tracking at a global level
Provide analytics to support the implementation of surveillance approaches and /or tooling to meet review requirements
Documentation of performed testing.
Analysis, refinement and management of core static data as part of local infrastructure support. Co-ordination and liaison with system providers, managing and reporting of performance issues for audio and written surveillance platforms
Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified
Local team support to meeting project deliverables as directed by manager/ Project leads.
Timely completion of other administrative tasks specific to development/completion of surveillance requirements
Provide local level, technical support to meeting surveillance requests from key stakeholders
Liaison with advisory compliance officers and/or the Control Room on monitoring related issues as appropriate
As required and further to meet above responsibilities, undertake monitoring for oral and written communications
Knowledge of the FCA rules and regulations, and a broad awareness of AMF, ACP and other regulatory and exchange rules and regulations as required
Maintaining awareness of key EU / FCA regulatory updates and analysing their impact upon the electronic communication monitoring programme
Participation in departmental and team meetings, as required
Attendance at relevant industry and trade association seminars
Level of Autonomy and Authority
The role involves autonomy on a day to day basis, but active liaison with the team manager as appropriate
1. (Innovation) Experience of managing tactical solutions ( written and/or audio) to support existing processes or development strategy 2. (Innovation) Use analytical approaches in support of the above 3. (Client) Control design and implementation 4. (Client) Development and presentation of MI in support of the above 5. (Team) Flexibility and ability to manage multiple assignments 6. (Team/commitment Collaborative approach, development of relationships with key stakeholders 7. (Responsibility), The nature of the role requires the role holder to fully respect sensitivity and confidentiality and act with integrity at all times
1. Background in supporting and administration of tactical solutions – preferably surveillance/archiving platforms at the operational level 2. Actual performance of Surveillance /Compliance monitoring
English with others deemed advantageous
If you feel you have the required experience and qualifications, then please apply to the SG Resourcing Team, and we will manage your application. At Societe Generale, we believe our people are our strength and are core to the success of our business. As such, we search for, recruit and appoint the best available person on the basis of aptitude and ability, regardless of sex, marital or civil partnership status, race, colour, nationality, ethnic or national origins, pregnancy, disability, age, sexual orientation, religion, belief or gender reassignment.