Financial Compliance Specialist

As a Surveillance professional, you will be responsible for reviewing and closing electronic and audio communication alerts for the EMEA region. This includes analyzing alerts generated from automated surveillance systems to detect potential policy violations and escalating them when necessary.

You will also perform audio surveillance by listening to voice communications of recorded employees to identify potential policy breaches. When closing alerts, you will properly document rationales with accurate commentary for audit trail.

The role requires adherence to written operating procedures for each review, modifying procedures as needed, and submitting them for approval. You will drive the enhancement and improvement of the communication surveillance program, clearly communicating findings and recommendations to onshore teams and senior management.

Additional responsibilities include supporting compliance investigations, gathering and analyzing communication logs and trade data to identify trends and anomalies. You will prepare quantitative and qualitative metrics to report surveillance results to senior management, identifying potential trends or themes that warrant further consideration or action.

This role requires a strong understanding of market abuse/conduct/compliance topics, experience in using automated communications surveillance systems, and expertise in Microsoft Office Suite. A bachelor's degree and 8-10 years of experience in Financial Services or Banking Compliance are also required.

• Key Responsibilities:
• Reviewing and analyzing alerts generated from various automated electronic communication surveillance systems to detect potential violations of policies, applicable rules, and regulations, escalating to the appropriate department when necessary.
• Performing audio surveillance by listening to voice communications of recorded MUFG employees to detect potential violations of policies, applicable rules, and regulations, escalating to the appropriate department when necessary.
• When closing alerts, properly documenting rationales with accurate, complete, and organized written commentary for audit trail.
• Adhering to written operating procedures for each of the reviews they're responsible for Modifying procedures and submitting them for approval, when needed.
• Driving the enhancement and improvement of the communication surveillance program from both an effectiveness and efficiency perspective, including clearly communicating findings and recommendations to onshore Surveillance teams and the EMEA Head of Surveillance.
• Supporting compliance investigations, when necessary, including gathering and analyzing communication logs, trade data and other relevant information to identify trends, patterns, and anomalies.
• Preparing quantitative and qualitative metrics to report surveillance results to Senior Management, including identifying potential trends or themes that may warrant further consideration or action. This may include using Microsoft Excel or data analysis and reporting tools such as Tableau.
• Keeping up to date with regulatory changes, internal policy updates, and regulators' actions to determine that the surveillance systems incorporate up-to-date techniques and address advanced market abuses and misconduct matters.
• Supporting general compliance activities and other duties, including special projects as assigned by Senior Management.

Requirements:

• Bachelor's degree: 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 (i.e. Excel, Access, PowerPoint and Word)