Auditor II

Overview:

Tek Wissen 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

Tek Wissen Group is an equal opportunity employer supporting workforce diversity.