Quality Analyst

Role & responsibilities

Direct Responsibilities

• Detect, review and report potentially suspicious activities.
• Review Voice communications of bank employees for adherence to firm and regulatory rules and requirements.
• Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation.
• Conducting both routine and special inquiries as required or requested.
• Performing routine administrative duties and reviews
• Working with FOCS managers to resolve instances of apparent breaches from firm and regulatory rules
• Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring Manager

Contributing Responsibilities

• Provide day-to-day assistance and support to the local Surveillance teams
• Assisting in regulatory and internal investigations as assigned by the FOCS Management Team
• Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary
• Assist in preparing management information and reporting regarding surveillance and monitoring activities
• Contribute to the implementation of Regulatory, Group and CIB standards against market abuse and breaches of Conduct of Business rules etc.
• Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc.
• Ensure the use of workflow investigation tools

Technical & Behavioral Competencies

• Demonstrate personal initiatives, ownership and accountability
• Strong Focus on Meeting Deadlines
• Additional European language skills preferred
• System Skills on Nice Fusion Communication Surveillance is an added advantage

Contact no- 8779183904

Email- shraddha.bhise@kiya.ai