Job Description


Job Role: Auditor II
Location: Montreal, QC (Need to go onsite - days in week)

Duration: Months



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 surve...

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