E-Communication Surveillance-Compliance Operations
3 days ago
• One of the key responsibilities will be to support and deliver the objectives of clients and ensure that all investigations are conducted in accordance with policies, procedures, applicable laws, and regulations and all evidence is collected and preserved in a manner prescribed by the clients.
The team combines regulatory knowledge with operations skills to support client in a high-volume compliance task.
Reviewing E-comm (Emails, Bloomberg’s, Chats and Voice calls) and identifying breaches to mitigate risks.
Communicate extensively with onshore partner to escalate/resolve issues.
Stay abreast of regulatory developments and industry the best practices related to e-comm surveillance to suggest improvements in the client’s process.
Adherence to controls and compliance standards.
Undertake a variety of ad hoc tasks, as required.
Bachelor’s degree required: preferably in accounting, finance, law, business management or related field.
Understanding of regulatory landscape in US, UK, or APAC.
Understanding of financial services industry predominantly asset/wealth management firms, investment banks, private equity firms and broker/dealers.
Knowledge of financial instruments including equity, fixed income, derivatives, structure products etc.
Understanding of regulatory bodies and regional regulators e.g., Sound Knowledge in e-comm monitoring and surveillance.
Strong communication skills – written and verbal.
Strong proficiency in Microsoft applications.
A certification in financial market or products will be an added advantage.
Experience:
~2-3 years of experience in compliance, particularly in e-comm surveillance.
~ Understanding of financial markets and financial instruments, including awareness of securities trading, trade life cycle etc.
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