Auditor II

TalentBurst; Montreal; Hybrid; CAD 60,000 - 90,000; Full time

Job summary

A leading company is seeking an Auditor II / Associate to join their FOCS team in Montreal. This 14-month contract role requires bilingual proficiency and involves reviewing communications, detecting suspicious activities, and ensuring compliance with regulations. The ideal candidate will have strong analytical and communication skills, along with a solid understanding of capital markets.

Qualifications

• Proficiency in French and English is required.
• 1-7 years of experience in Surveillance/Compliance/Risk Management is a plus.
• Knowledge of capital markets and trading terminology is advantageous.

Responsibilities

• Review communications for adherence to rules and regulations.
• Detect and report suspicious activities.
• Assist in enhancing processes for identifying market abuse.

Skills

Interpersonal skills

Communication

Adaptability

Analytical skills

Organizational skills

Proactivity

Tools

Excel

PowerPoint

Job description

Role: Auditor II / Associate – FOCS team member Global Markets
Duration: 14 month contract English and French is mandatory.
Location: Montreal QC
Details: Hybrid On-site/Remote

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 required
• Proficiency Spanish, Portuguese or other languages a plus

Preferred qualifications:

• Capital Markets, Risk Management or Compliance experience a plus
• 1-7 years Surveillance / Compliance/ Risk Management experience within a financial services/securities environment helpful

Other qualifications:

• Project management experience a plus