Junior Communications Surveillance Officer
Natixis
- Porto
- Permanente
- Horário completo
- Conduct daily surveillance of electronic and voice communications to ensure compliance with appropriate rules, regulations, and firm policies
- Perform research and investigations to identify the reason for potential violations
- Document research results and escalate violations and/or suspicious activity according to firm policy and regulatory requirements
- Work with members of the firm’s Business Lines, Advisory and other departments, to identify, analyze, investigate, and resolve issues
- Ability to analyze, in partnership with members of Trade Surveillance staff, quantitative and qualitative reviews of the trading activity in specific business areas.
- Work on ad-hoc Surveillance Projects as needed
- Work or education experience in regulatory, audit, compliance, risk, surveillance, or equivalent
- Fluent English
- Knowledge/experience with financial markets and an array of financial products (including stocks, bonds, equity/credit derivatives)
- Minimum of a College degree (prefer in Finance, Business or Accounting) or equivalent work experience
- Ability to multi-task effectively and handle change well
- Advanced MS Excel (pivot tables, experience with large data sets, proficient in data manipulation and presentation)