5.0 - 7.0 years

13 - 16 Lacs

mumbai, goregaon

Work from Office

The Compliance Officer is a valuable member of the Global Compliance Team, providing day-to-day marketing review support of sales and client service advertising materials of Russell Investments retail, institutional and corporate businesses as well as supporting the email surveillance program. This role also may assist in other compliance activities that support the firms policies and procedures, testing, and maintenance of global regulatory developments and industry trends. This role requires an individual with an ability to multi-task and maintains a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives. The compliance team serves as ...

Posted 1 month ago

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Surveillance Analyst JPMC Candidate Experience page

6.0 - 10.0 years

0 Lacs

hyderabad, telangana

On-site

As an E-Communication Surveillance personnel at Compliance Conduct and Operational Risk division, your primary responsibility will be to identify potential instances of market abuse, specifically insider trading and market manipulation. You will utilize established surveillance systems to monitor activities in both Firm and Employee accounts in order to ensure compliance with policies. The E-Communication surveillance team plays a crucial role in assessing risks across markets and implementing surveillance programs to protect the firm against reputational and financial risks while adhering to internal policies and regulatory requirements. Your role will involve reviewing communications surve...

Posted 2 months 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 sta...

Posted 5 months ago

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