This is an exciting opportunity to join the Business Compliance Monitoring Surveillance Team (BCMS) in London which is responsible for monitoring for Market Abuse through designing, implementing, monitoring and testing a transversal range of surveillance models across the entire range of Businesses of CA CIB and Credit Agricole SA, London Branch (CA). Appropriately escalating first level suspicious behaviours through transactions and orders is fundamental to the role.

The role requires experience in the management and analysis of data, as well as an understanding of financial and non-financial misconduct. Knowledge of Communication Surveillance is a requirement. The person should be familiar with regulatory and conduct issues which are relevant to CA monitoring and surveillance framework i.e. Market Abuse and Conduct Risk.

The CM&S Framework monitors transactions and communications within all the business lines including:

• Global Markets Division
• Global Investment Banking
• Treasury

Experience in the execution and completion of compliance reports, providing statistical data, performing first level alert classification, escalation process and detailed investigations whilst delivering high quality and timely management information reports is essential. This includes documenting evidence and validating findings.  

Proactive assessment of the compliance function and its associated risks arising from CA is vital. This includes liaising with Business Compliance Advisory Financial Security, Fraud, Legal, Risk, Front Office and relevant IT teams where appropriate. All procedures and documents should be kept up to date to reflect the compliance plan and day to day tasks.

Key Responsibilities:

• Assist, improve and help implement new monitoring controls other than those set out above.
• Follow up on any alerts identified as requiring calibration, lexicon changes or general improvements.
• Compile breach / incident and audit trail reports arising from monitoring activity and report the outcome to the Head of Surveillance UK.
• Create and document detailed user guides and desk top procedures ensuring all policies remain up to date.
• Contribute to the maintenance of the annual Compliance Monitoring and Surveillance book of work.
• Highlight issues to senior management regarding data input and data output.
• Identify and escalate potential instances of Market Abuse, Operational risk and other market integrity issues as discovered from the alert creation process.
• Ensure the efficient escalation of any potential breaches and tracking them as appropriate.
• Ensure that the monitoring findings are accurately recorded and retrievable to provide full reporting to senior management.
• Proactively identify gaps and weaknesses in surveillance/ monitoring activity and actively seeking to address them.
• Ensure confidentiality at all times due to privileged information access
• Maintain awareness of key regulatory updates and analysing their impact on alert development

Periodic Reporting:

• Provide periodic and ad-hoc reports and updates to the heads of Compliance Monitoring & Surveillance. Create and distribute high quality reporting in accordance with the monitoring framework and deliver these reports to management as required. Update and provide management information as requested for local, group, head office and regulatory requests.
• Contribute toward the production and maintenance of the Annual Compliance Monitoring Plan (‘the Monitoring Plan’), which has an obligation to meet all relevant regulatory, compliance and internal audit requirements.
• Assist with internal and external compliance reporting.

Validation Findings:

• Liaise with the head of Global Compliance Monitoring & Surveillance in relation to monitoring and surveillance output.
• Track and follow up issues identified as a result of monitoring activity and escalate where necessary.

Ad-hoc:

• Assist the Head of Surveillance and the Global Head Surveillance with ad-hoc tasks, projects, investigations and regulatory thematic reviews as requested.
• Stay abreast of regulatory changes and industrial developments that may impact CA CIB and CASA.

• Compliance related Professional Training qualification (e.g. FINRA, CISI).

• Prior experience in eCommunications surveillance, trade surveillance, market abuse, market conduct or compliance within an investment bank
• Understanding of basic Capital market products such as FICC products, repo, Origination, Syndication, Credit and Treasury.
• Understanding of Market Abuse Regulation and the associated Alert Scenarios, but not limited to: Layering/Spoofing, Front Running, Wash Trades, Ramping, Cross Product/Venue Manipulation, Manipulation of Benchmarks.
• Solid controls development experience – streamlining processes and controls.
• Ability to review and analyse data then present results statistically in MI format.
• Proven experience of delivering high quality compliance MI reports for senior management.
• Proven experience of executing compliance reports and investigations or similar regulatory reports.
• Ability to track and document investigation until resolution.  
• Ability to constructively challenge Front Office.

• Active team player
• Ability to escalate issues to senior management
• High curiosity and Investigative mind
• Results driven person who is willing to take on repetitive tasks
• Energy and tenacity to work well under pressure to deliver in short deadlines.
• Confident and adaptable, and possess an eye for detail whilst appreciating the big picture
• Ability to assimilate and to interpret information quickly
• Proactive attitude in identifying trends and risks
• Ability to handle a large amount of data on a daily basis
• Team player who enjoys working collaboratively and communicate regularly

• Detailed knowledge of UK and European Legislation
• Data management and IT literacy (trade capture systems and downstream feeds) risk systems, surveillance tools, databases and spreadsheets and statistics).
• Report writing skills
• Visual Basic
• Good understanding of the regulatory and legal requirements for internal investigations as well as the compliance/ Regulatory topics in the Financial Services industry
• Ability to develop in-depth investigative, technical and analytical skills.
• Ability to perform searches using external sources and tools