E-Communication Surveillance-Compliance Operations

3 weeks ago

Bengaluru, Karnataka, India Acuity Knowledge Partners Full time

Job Purpose


• This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication (E-communication) surveillance and mitigate risks that could arise from data breaches.


• One of the key responsibilities will be to support and deliver the objectives of clients and ensure that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients.

Key Responsibilities

  • The team combines regulatory knowledge with operations skills to support client in a high-volume compliance task.
  • Reviewing E-comm (Emails, Bloomberg's, Chats and Voice calls) and identifying breaches to mitigate risks.
  • Communicate extensively with onshore partner to escalate/resolve issues.
  • Continue to innovate and provide effective client solutions.
  • Build a strong rapport within the team and with the client.
  • Possess strong knowledge of documentation, SOP's, and process workflows.
  • Stay abreast of regulatory developments and industry the best practices related to e-comm surveillance to suggest improvements in the client's process.
  • Develop good interpersonal relationships with the clients to get the best information and insights from them.
  • Adherence to controls and compliance standards.
  • Undertake a variety of ad hoc tasks, as required.

Key Competencies

Qualifications/Skills:

  • Bachelor's degree required: preferably in accounting, finance, law, business management or related field.
  • Understanding of regulatory landscape in US, UK, or APAC.
  • Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.
  • Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.
  • Understanding of regulatory bodies and regional regulators e.g., FINRA, SEC, FCA, SFC, MAS, etc.
  • Sound Knowledge in e-comm monitoring and surveillance.
  • Strong communication skills – written and verbal.
  • Strong proficiency in Microsoft applications.

Preferred skills:

  • A certification in financial market or products will be an added advantage.
  • Ability to work collaboratively with cross-geographical teams.
  • Display team-work orientation and ability to multi-task.

Experience:

  • 2-3 years of experience in compliance, particularly in e-comm surveillance.
  • Understanding of financial markets and financial instruments, including awareness of securities trading, trade life cycle etc.
  • Familiarity with e-comm surveillance tools is a plus.

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