Communication Surveillance, Compliance, Associate

Job Description

Role Description 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 Review and fully investigate Communication Surveillance alerts /escalations and communicate the same in a timely manner to the Onshore team. Liaise with Country Compliance Officers, the business, Operations or Technology in the development, review, testing and/or enhancement of procedures. Ability to multitask, the prospective candidate will be dealing with multiple requests. It is critical that requests are managed in an orderly and timely manner. Prepare and present relevant management information to stakeholders. Handling the BAU of the process along with providing support in the areas of Global projects, and Process transitions which may include User Acceptance Testing of new tools, calibration of lexicons etc. Assist in internal queries and audit requests. Your skills and experience Strong attention to detail, analytical skills, and sound judgement. Ability to assimilate large amounts of data and have the focus to identify potential issues. Be able to multitask and work on multiple projects. Understand various Business area risks. Compliance and Regulatory awareness. Knowledge of applicable securities rules advantageous. Team player with ability to work independently. Proactive and enthusiastic. Work Experience Minimum Experience of 6 years+ in areas of Compliance / Surveillance Operations. An ability to manage to deadlines and ensuring adherence to regulatory/audit requirements. 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). Experience on preparing MI, managing large volume of data, and presenting the same to senior management.