Communication Surveillance, Compliance Professional

• 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).