Expert - Communication Surveillance
1 month ago
Expert - Communication Surveillance
Compliance Permanent contract Chennai, India Reference 24000PGU Start date 2025/01/25 Publication date 2024/11/07
Responsibilities
Main responsibilities
Primary:
· Develop team programs that support the organization’s business strategy
· Ensure financial compliance with Organization’s policies and procedures and applicable legal rules and banking regulations
· Identifies and recommends potential solutions that monitor, detect or prevent money laundering or terrorist finance activity
· The candidate will operate within a multi-jurisdiction platform and deal with colleagues from diverse backgrounds and culture
· Ability to work independently and accurately prioritize workload with minimal supervision
Functional:
· Analytical skills and solid financial expertise are paramount
o Well versed with various asset classes like Equity, derivatives, Fixed Income.
o The candidate must be ready to cope with a significant workload of alerts to review every day.
o Promptly undertake Trade surveillance using the firm's surveillance tools like SMARTS.
o Review alerts under various models but not limited to Insider dealing, Ramping, Layering, Spoofing, Wash etc.
o Promptly investigate and clearly highlight suspicious trades arising from the surveillance activities, involving advisory compliance officers as required.
o Perform UAT of new tools and applications and share findings with Data Science team.
Timely implementation of internal and external audit points & compliant with IGAD recommendationso Ready to work in shifts as per stakeholder’s expectation.
o Required to exercise judgment on regulatory risks applicable for both Trade and Communications surveillance.
o Actively participate in regulatory and internal investigations or any ad-hoc investigations as required.
o Manage and Mitigate Risks - Conclude investigations of potential and actual non- compliant activities (Intermediate)& Review system safeguards and recommend process enhancements
Team Leadership
· Cooperate and support the management in implementation of any other initiative that may arise during the year
Relationship Management
· Foster a customer-focused working environment.
· Develop and maintain collaborative relationships with key clients / stakeholders.
· Establish and maintain active and constructive relationships with other teams in the organization.
· Regularly review work processes for areas of improvement
Share best practices with peers and support in creating a Culture of Excellence
Profile required
Experience: 4-6 years of relevant experience in Trade Surveillance & Compliance
Functional & Technical Knowledge:
· Bachelor’s degree or equivalent work experience required
· Must have a proven experience in a Trade Surveillance role using SMARTS Trade Surveillance tool.
· Knowledge of Risk, Compliance and Controls
Having experience in both Trade surveillance and Communication Surveillance will be an added advantage·
· Good analytical skills with high attention to detail and accuracy
· Excellent verbal, written, and interpersonal communication skills
· Ability to interact with all levels of an organization
· Strong organizational, multi-tasking, and prioritizing skills
· Ability to execute in a fast paced, high demand, environment while balancing multiple priorities
· Ability to articulate complex concepts in a clear manner
· Solid critical, problem solving and decision making skills
· Ability to develop partnerships and collaborate with other business and functional areas
· Ability to work effectively in a team environment and across all organizational levels, where flexibility, collaboration, and adaptability are important
· Ability to identify risks and propose mitigation plans
Advanced Microsoft Office skills French speaking will be added advantage, as many traders and sales will be in French.
Why join us
“We are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, disability, age, or veteran status”.
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