Communication Surveillance, Compliance Professional
1 week ago
- The Compliance Department protects the Bank by advising on ethical conduct, identifying regulatory solutions, safeguarding integrity, and reputation, and promoting, in partnership with the business, a culture of Compliance. Given the increasing regulatory scrutiny and the need to implement a robust and globally consistent control framework, an effective Central Compliance function is a key component to the Departments success.
- The position will be based in India and requires the candidate to work in APAC hours.
Your key responsibilities
- Conduct Communication Surveillance (E-comms & Voice) for APAC.
- Assist in initial review of alert queues and perform analysis of surveillance alerts in relation to firm, employee whilst ensuring consistent delivery & service levels are maintained.
- Promptly escalating concerns within alerts to the appropriate onshore region / teams for follow up and take necessary actions.
- Reviewing and opining on alerts; emails, and other communications (i.e., voice) for potential breaches of laws, regulations, and internal policies
- Developing methodologies to identify, monitor and test areas of compliance risk whilst building and fostering close relationships with stakeholders.
- Working with Compliance Information Technology in the preparation and User Acceptance Testing of new tools, amendments to existing to ensure effectiveness and coverage of alerts.
- Additional duties are assigned.
Your skills and experience
- Compliance/regulatory experience would be beneficial.
- Degree related experience to Finance or Economics would be beneficial.
- The ability to explain complex concepts in simple and easy to understand way.
Education
- Degree level
Language Skills
- English fluency in spoken and written.
Technical Skills
- Experience with using Surveillance tools.
- Proficiency in Data analytics and MS Office (esp. Advanced Excel + PowerPoint).
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