Electronic Communications Surveillance Specialist
4 days ago
Job Title:
Manager - Electronic Communications Surveillance
Job Description:
This role involves reviewing and closing electronic communication alerts for the EMEA region. The successful candidate will be responsible for analyzing alerts generated from automated surveillance systems, detecting potential policy violations, and escalating issues to the appropriate department.
The ideal candidate will have experience in using automated communications surveillance systems, a good understanding of market abuse topics, and expertise in Microsoft Office Suite.
Key Responsibilities:
- Review and analyze electronic communication alerts to detect potential policy violations.
- Escalate issues to the appropriate department when necessary.
- Perform audio surveillance by listening to voice communications to detect potential policy violations.
- Closing alerts requires properly documenting rationales with accurate commentary for audit trails.
- Adhere to written operating procedures for each review responsibility.
- Modify procedures as needed and submit them for approval.
- Enhance and improve the communication surveillance program from both effectiveness and efficiency perspectives.
- Support compliance investigations by gathering and analyzing communication logs, trade data, and other relevant information.
- Prepare metrics to report surveillance results to senior management.
- Stay up-to-date with regulatory changes and internal policy updates.
- Support general compliance activities and other duties as assigned by senior management.
Required Skills and Qualifications:
- Bachelor's degree in Financial Services or Banking Compliance.
- 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, and Word).
Benefits:
The MUFG Group is committed to providing equal employment opportunities to all applicants and employees and does not discriminate on the basis of race, color, national origin, physical appearance, religion, gender expression, gender identity, sex, age, ancestry, marital status, disability, medical condition, sexual orientation, genetic information, or any other protected status of an individual or that individual's associates or relatives.
Others:
Equal Opportunity Employer.
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