Compliance Surveillance Leader

2 weeks ago

Pushkar, Rajasthan, India beBeeSurveillance Full time ₹ 90,00,000 - ₹ 1,50,00,000

About the Role:

We are seeking a Surveillance Manager to join our EMEA Surveillance Department, which sits within the Core Compliance Division. This department plays a critical role in safeguarding MUFG assets, employees, clients and reputation by ensuring strict adherence to regulatory requirements, compliance standards and internal policies.

The successful candidate will be responsible for reviewing and analyzing alerts generated from automated electronic communication surveillance systems to detect potential violations of MUFG policies and regulations. They will also perform audio surveillance by listening to voice communications of recorded MUFG employees to detect potential violations of MUFG policies and regulations.

Main Responsibilities:

  • Reviewing and analyzing alerts generated from automated electronic communication surveillance systems to detect potential violations of MUFG policies and regulations.
  • Performing audio surveillance by listening to voice communications of recorded MUFG employees to detect potential violations of MUFG policies and regulations.
  • Closing alerts by documenting rationales with accurate, complete, and organized written commentary for audit trail.
  • Modifying procedures and submitting them for approval when needed.
  • Driving the enhancement and improvement of the communication surveillance program from an effectiveness and efficiency perspective.
  • Supporting compliance investigations, including gathering and analyzing communication logs, trade data and other relevant information.
  • Preparing quantitative and qualitative metrics to report surveillance results to Senior Management.

Requirements:

  • Bachelor's degree and 8-10 years' experience in Financial Services or Banking Compliance.
  • Good understanding of market abuse / conduct / compliance topics.
  • Expertise in Microsoft Office Suite, including Excel, Access, PowerPoint and Word.
  • Excellent written and verbal communication skills, attention to detail, organizational skills, analytical and problem-solving skills, sound judgment and ability to escalate issues appropriately.
  • Ability to establish and maintain strong relationships across multiple departments.
  • Team player with native-level proficiency in English, both verbally and in writing.

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