Surveillance Specialist
2 weeks ago
About this role:
The General Counsel Shared Services function at FRI FIL India Business and Research Services Private Limited is seeking a highly skilled Surveillance Manager to support the business requirements for electronic communications monitoring and surveillance.
As a Surveillance Manager, you will be responsible for monitoring communications across multiple channels of the firm's professionals to detect misconduct, usage of unapproved communication platforms, or behavior to obtain reasonable assurance that the relevant internal policies and procedures and applicable laws and regulation are adhered to.
You will work with a range of stakeholders, identifying and documenting review needs, and working as part of an expanding vertical within GC Shared Services, partnering with businesses and key stakeholders from Operations and Regulatory Compliance in FIL Canada to deliver the desired business outcomes.
Key Responsibilities:
- Monitoring of firms professional's 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.
- 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 recommending opportunities to leverage technology to drive the compliance program and enhance insight and efficiency, and working with the Compliance Team in Canada to support this.
- Reviewing and validating compliance of the organisation's Social Media Policy by reviewing Sales and Marketing employee LinkedIn and other social media posts and sales communications, to detect non-compliance.
- Identifying any areas on non-compliance with other programs under scope, and reporting accordingly to Management.
- Supporting the creation or update of assigned policies and procedures and staying up to date on regulatory matters related to changes, and analyzing their impact.
- Reviewing exceptions - Identifying, tracking, resolving and reporting compliance exceptions in-line with internal policy and regulatory requirements.
- Escalating issues to business partners, including follow up communication with senior stakeholders.
- Reviewing alert volume and patterns regularly to identify and minimize false positives, ensuring efficient detection of potential violations.
- Developing and implementing 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.
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