Auditor II

Montreal - Canada

Monthly Salary: Not Disclosed

Posted on: 30+ days ago

Vacancies: 1 Vacancy

Job Summary

Overview:

TekWissen is a global workforce management provider headquartered in Ann Arbor Michigan that offers strategic talent solutions to our clients world-wide. Our client is a company who is a provider of banking and financial services. The company operates through two divisions Retail Banking and Services and Corporate and Institutional Banking

Position: Auditor II

Location: Montreal QC H3A 2A6

Duration: 12 Months

Job Type: Temporary Assignment

Work Type: Onsite

Shift: 8.00AM-5.00PM

Job Description:

Responsibilities:

Review Voice and E-communications of bank employees for adherence to firm and regulatory rules and requirements.
Detect review and report potentially suspicious activities.
Conducting both routine and special inquiries as required or requested.
Working with FOCS (Front Office Conduct and Surveillance) managers to resolve instances of apparent breaches of firm and regulatory rules
Proactive and timely escalation of issues to the Monitoring Manager
Provide day-to-day assistance and support to the regional Surveillance teams
Ensure that relevant procedures systems and controls are up to date and effective and to identify / facilitate remedial action where necessary
Assist in preparing management information and reporting regarding surveillance and monitoring activities
Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.
Ensure the use of workflow investigation tools
Contribute to the set-up implementation and operation of risk prevention tools
Contribute to the implementation of Regulatory Group and CIB standards against money laundering fraud corruption terrorism etc.
Comply with all applicable legal regulatory and internal Compliance requirements including but not limited to Compliance policies and procedures as issued from time to time.

Minimum required qualifications

Conduct

Excellent interpersonal and communication skills with management and transversal functions
Adaptability
Be a role model supporting and fostering a culture of good Conduct
Demonstrate proactivity transparency and accountability for identifying and managing conduct risks
Consider the implications of your actions on colleagues partners and clients before making decisions and escalate issues to your manager when unsure

Market Product and Business Experience

Knowledge of the capital markets
Knowledge of trading and business terminology is a significant advantage
Strong organizational skills ability to multitask and prioritize based on potential impact
Capacity to analyze issues synthesize findings and communicate them in an effective manner
Proven ability to work autonomously

Technical Skills

Advanced knowledge of Excel
Ability to organize data sets
Generally comfortable and adept at learning and using technology tools
PowerPoint/presentation skills

Language Skills

Proficiency in French and English is mandatory
Proficiency in Spanish Portuguese or other languages a plus

Preferred qualifications:

Capital Markets Risk Management or Compliance experience
3-7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful

Other qualifications:

Project management experience a plus

TekWissen Group is an equal opportunity employer supporting workforce diversity.

Overview: TekWissen is a global workforce management provider headquartered in Ann Arbor Michigan that offers strategic talent solutions to our clients world-wide. Our client is a company who is a provider of banking and financial services. The company operates through two divisions Retail B...