E-Communication Surveillance-Compliance Operations
6 days ago
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.
-
Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeJob 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...
-
Bengaluru, Karnataka, India Acuity Knowledge Partners Full timeJob 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...
-
Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 1,20,00,000 - ₹ 2,00,00,000Job OverviewThis role is part of our corporate and forensic compliance team, working closely with stakeholders to conduct investigations and administer all aspects of electronic communication surveillance, mitigating risks from data breaches.We are seeking an experienced professional to support and deliver client objectives, ensuring all investigations...
-
Communication Surveillance, Compliance
2 days ago
Bengaluru, Karnataka, India Deutsche Bank Full time ₹ 5,00,000 - ₹ 8,00,000 per yearIn Scope of Position based Promotions (INTERNAL only) Job Title: Communication Surveillance, Compliance - NCT Location: Bangalore, India Role DescriptionThe Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in partnership with the...
-
Bengaluru, Karnataka, India Deutsche Bank Full time US$ 9,00,000 - US$ 12,00,000 per yearThe Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective...
-
Bengaluru, Karnataka, India beBeeSurveillance Full time ₹ 11,00,000 - ₹ 14,39,000Job Title: E-Communication Surveillance SpecialistWe are seeking a skilled E-communication surveillance specialist to join our corporate and forensic compliance team. This role involves working closely with stakeholders to conduct investigations and administer all aspects of electronic communication (E-communication) surveillance.Key Responsibilities:The...
-
Compliance Operations Specialist
2 weeks ago
Bengaluru, Karnataka, India beBeeSurveillance Full time ₹ 10,80,000 - ₹ 16,20,000Job TitleThis role is part of a corporate compliance team, working closely with stakeholders to conduct investigations and administer electronic communication surveillance.The key responsibilities include supporting clients' objectives, conducting investigations in accordance with policies and regulations, and collecting evidence.Key Responsibilities:The...
-
Bengaluru, Karnataka, India beBeeSurveillance Full time ₹ 15,00,000 - ₹ 28,00,000Job Title: Manager - Electronic Communications SurveillanceJob Description:This role involves reviewing and closing electronic communication alerts for the EMEA region. The successful candidate will be responsible for analyzing alerts generated from automated surveillance systems, detecting potential policy violations, and escalating issues to the...
-
Communication Surveillance Specialist
1 week ago
Bengaluru, Karnataka, India beBeeSurveillance Full time ₹ 11,04,000 - ₹ 21,18,000About UsWe are a global financial institution with a network spanning more than 40 markets.Our parent company is one of the world's leading financial groups.We have approximately 120,000 employees worldwide and offer services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.We aim to be...
-
Bengaluru, Karnataka, India beBeeCompliance Full time ₹ 73,44,000 - ₹ 1,21,32,000Electronic Communication Compliance SpecialistWe are seeking a skilled Electronic Communication Compliance Specialist to join our corporate and forensic compliance team. As an integral part of this team, you will work closely with stakeholders to conduct investigations and administer all aspects of electronic communication (E-communication) surveillance.Your...
