Financial Surveillance Analyst

2 weeks ago

Thoothukudi, Tamil Nadu, India beBeeSurveillance Full time ₹ 90,00,000 - ₹ 1,42,50,000

About our organization:

We are a global financial group with a network spanning over 40 markets.

Our company offers commercial and investment banking products and services to businesses, governments, and individuals worldwide.

Our parent is one of the world's leading financial groups.

Headquartered in Tokyo, we have about 120,000 employees and provide services including commercial banking, trust banking, securities, credit cards, consumer finance, asset management, and leasing.

We aim to be the world's most trusted financial group through close collaboration among our operating companies and flexible response to all financial needs of customers, serving society, and fostering shared and sustainable growth for a better world.

Our shares trade on the Tokyo, Nagoya, and New York stock exchanges.


Job Overview:

This role will be responsible for reviewing and closing electronic and audio communication alerts.

Responsibilities:

  • Reviewing and analyzing alerts generated from automated electronic communication surveillance systems to detect potential violations of policies and regulations.
  • Performing audio surveillance by listening to voice communications to detect potential violations of policies and regulations.
  • Documenting rationales with accurate, complete, and organized written commentary for audit trail when closing alerts.
  • Modifying procedures and submitting them for approval, adhering to written operating procedures.
  • Driving enhancement and improvement of the communication surveillance program from effectiveness and efficiency perspectives.
  • Supporting compliance investigations, gathering and analyzing communication logs and other relevant information.
  • Preparing quantitative and qualitative metrics to report surveillance results to Senior Management.
  • Maintaining up-to-date knowledge of regulatory changes and internal policy updates.

Requirements:

Bachelor's degree with 8-10 years' experience in Financial Services or Banking Compliance.

Experience in using automated communications surveillance systems.

Good understanding of market abuse/conduct/compliance topics.

Expertise in Microsoft Office Suite (Excel, Access, PowerPoint, Word).

Excellent written and verbal communication skills.

Attention to detail; excellent organizational skills.

Strong analytical and problem-solving skills.

Ability to exercise sound judgment and escalate issues appropriately.

Native-level proficiency in English language, both verbally and in writing required. Fluency in Japanese and/or French is a plus

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