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DESCRIPTION OF THE BUSINESS LINE OR DEPARTMENT To actively and promptly undertake Compliance communication monitoring of key risk areas of Societe Generale, reporting any issues on a timely basis
SUMMARY Summary of the key purposes of the role – Minimum 3 Statements to be identified
* Perform Communication monitoring ( written and Audio) on certain employee populations * Escalation of issues and case management * Liason with Advisory and Trade Surveillance colleagues
RESPONSIBILITIES Key responsibilities
Undertake communication monitoring using the firm's oral and written communication monitoring tools as directed by team management.
Maintain and monitor a database of remedial actions/recommendations arising from communication monitoring, to ensure timely and satisfactory resolution of issues identified.
Liaison with advisory compliance officers and/or the Control Room on monitoring related issues as appropriate
Assisting in regulatory and internal investigations as appropriate.
Active participation in investigations into incidents arising within the business lines as required
Proactive and timely escalation of issues to management
Maintaining a detailed working 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
COMPETENCIES AND WORK EXPERIENCE Previous Work Experience - Define a minimum of 10 skills and technical knowledge that are essential for the Job holder to have
1. Compliance Monitoring experience relating to capital markets and investment banking activities 2. Fluent English, French speaker with other language skills desirable 3. Analytical skills 4. Presentation skills 5. Report-writing skills 6. Attention to detail 7. Flexibility and ability to manage multiple assignments
Qualifications required or desirable
Languages: French and English with others deemed advantageous