Surveillance Manager
1 month ago
About the Role
The Surveillance Manager will be responsible for monitoring electronic communications across multiple channels to detect misconduct, usage of unapproved communication platforms, or behavior that may violate internal policies and regulatory requirements.
Key Responsibilities
- Monitoring of firms professionals communications using the communications surveillance tool to detect any instances of market misconduct, usage of unapproved communication platforms or violation of internal policies/regulatory requirements.
- Responsible for maintaining procedures related to overseeing electronic communications monitoring and enhancing oversight mechanisms.
- Leading the ongoing expansion and calibration in related projects to support the expansion of surveillance scope to include additional communication channels and behaviors.
- Proactively recommend opportunities to leverage technology including to drive the compliance program and enhance insight and efficiency, and work with the Compliance Team in Canada to support this.
- Review and validate compliance of the organisations Social Media Policy by reviewing Sales and Marketing employee LinkedIn and other social media posts and sales communications, to detect non-compliance.
- Identify any areas on non-compliance with other programs under scope, and report accordingly to Management.
- Support the creation or update of assigned policies and procedures and stay up to date on regulatory matters related to changes, and analyze their impact.
- Reviewing exceptions - Identify, track, resolve and report compliance exceptions in-line with internal policy and regulatory requirements.
- Escalating issues to business partners, including follow up communication with senior stakeholders.
- Review of alert volume and patterns regularly to identify and minimize false positives, ensuring efficient detection of potential violations.
- Develop and implement bespoke monitoring capabilities tailored to the evolving business needs.
- Supporting the development and maintenance of management information reports, metrics and dashboards based on complex data sets.
- Reviewing and drafting internal procedures, policies and guidance where required.
About You
The ideal candidate will have:
- 8+ years of prior experience in compliance, including a surveillance role at a financial services industry or asset management firm.
- Must have French language proficiency (reading, writing and speaking).
- Experience of designing, testing and calibrating surveillance models and parameters.
- The ability to work and prioritize independently coupled with the judgement to involve management with issues as needed.
- Entrepreneurial inclination - ability to work alone and act as a business specialist.
- Excellent communication and inter-personal skills, with a track record of coordinating and working with teammates and stakeholders across multiple locations to deliver projects and deliverables.
- Ability to plan, organise, co-ordinate and work well under pressure and remain motivated while completing routine tasks.
About FRI FIL India Business and Research Services Private Limited
We are proud to have been helping our clients build better financial futures for over 50 years. How have we achieved this? By working together - and supporting each other - all over the world. Our General Counsel (GC) Shared Services function is a global centre of expertise currently in Dalian and India, providing operational support and services to the General Counsel function.
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