Senior Member Technical - Java Support Broadridge

5.0 - 9.0 years

0 Lacs

karnataka

On-site

At Broadridge, we have established a culture focused on empowering individuals to achieve more. If you are enthusiastic about advancing your career while supporting others in their journey, we invite you to join our team. In this role, you will be responsible for reviewing FINRA Consolidated Audit Trail (CAT) submissions to ensure compliance with various rules and providing guidance to clients for remediation and resubmission. Additionally, you should have experience in capital markets operations, compliance surveillance, or control involving derivatives, foreign exchange, and securities. Your key responsibilities will include the daily upkeep of application systems, such as identifying and resolving application issues, addressing client queries promptly, prioritizing defects for resolution, and managing critical incidents to minimize downtime and enhance customer satisfaction. You will also be involved in continuously enhancing support processes, collaborating with cross-functional teams, and contributing to application improvements. The ideal candidate will possess proven financial services experience, particularly in Regulator Reporting within Capital Markets. Moreover, you must exhibit strong communication skills, both written and verbal, as you will interact with various stakeholders across different locations. Being proactive, motivated, and a collaborative team player is essential for success in this role. Given the nature of the position, you must be adaptable to changing priorities, have strong analytical and problem-solving abilities, and be willing to work in rotational shifts covering global time zones (APAC, EMEA & AMER). At Broadridge, we are dedicated to creating a collaborative, inclusive, and engaging workplace where every associate feels valued and empowered to bring their authentic selves to work. We believe in fostering a safe and supportive environment that celebrates diversity and unique perspectives, ensuring that Broadridge remains a community that recognizes and appreciates the contributions of all individuals.,

Posted 1 week ago

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AVP- E-Comm Surveillance Sumitomo Mitsui Banking Corporation (SMBC)

5 - 10 years

25 - 35 Lacs

Mumbai

Hybrid

Sumitomo Mitsui Banking Corporation Conduct Surveillance: • Carry out surveillance and monitor employee communications across designated channels using surveillance tools and technologies. • Analyze communication content for potential violations of: • Insider trading regulations • Market manipulation • Anti-money laundering (AML) regulations • Anti-bribery and corruption (ABC) policies • Insider trading policies • Conflicts of interest • Other relevant regulatory and internal policies Alert Investigation: • Investigate alerts generated by the surveillance system and other sources. • Conduct in-depth analysis of suspicious activity, including reviewing relevant documentation, interviewing stakeholders, and gathering supporting evidence. • Escalate potential violations to appropriate internal departments (e.g., Legal, Compliance, Human Resources, Security). Reporting: • Prepare regular reports on surveillance activities, including key findings, trends, and metrics. • Generate reports for regulatory examinations and internal audits. • Maintain accurate records of all surveillance activities and investigations. System Administration: • Assist in the maintenance and configuration of surveillance systems and tools. • Conduct system testing and identify areas for improvement. • Stay abreast of technological advancements in surveillance and communication tools. Policy and Procedure Development: • Contribute to the development and maintenance of internal policies and procedures related to electronic communications surveillance. • Provide guidance and training to employees on communication policies and best practices. Regulatory Compliance: • Stay informed of relevant regulations and industry best practices related to electronic communications surveillance. • Ensure compliance with all applicable laws and regulations. Knowledge, Skills, Experience & Qualifications • Master’s degree in finance, Law, Compliance, or a related field. • 8-10 years of experience in financial services compliance, surveillance, or a related field. • Strong understanding of financial markets, regulations, and industry best practices. • Experience with electronic communication surveillance tools and technologies. • Excellent analytical and problem-solving skills. • Strong attention to detail and accuracy. • Excellent written and verbal communication skills. Ensure compliance with regulatory requirements and internal policies related to electronic communications within the Bank. The individual will carry out surveillance and monitor employee communications across various communication channels, including MS Teams, desk phones, emails, Blackberry Chat, Webex to identify potential misconduct, regulatory breaches, and other risks.

Posted 3 months ago

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