3 Voice Surveillance Jobs

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 a robust independent second line of defense to help ensure that the firm operates within regulatory requirements and industry practices, and this is an important role within the compliance team. Years of Experience 4-6 years' experience. Qualifications A strong educational background including an undergraduate degree is required Responsibilities Assist the Compliance Manager in overseeing the day-to-day activities of a team of 6-8 compliance analysts, ensuring alignment with departmental goals and objectives. Oversee the firms electronic Communication surveillance program and marketing material review process. Liaise with global compliance team to manage the Code of Ethics and personal trading program of Mumbai staff. Participate in projects relating to the enhancement of US and global compliance policies and procedures, internal controls, and systems in response to changes in the business or regional and/or global regulations. Liaise across the firm to execute reporting processes and create/distribute reports to support reporting for global and US compliance trends; Liaise across the firm to execute reporting processes and create/distribute reports to support reporting for global and US compliance trends; and Initiating, building and cultivating strong relationships inside and outside the compliance team and be able to navigate and create solutions to solve sophisticated issues while working with various levels of management and business partners. Candidate Requirements Knowledge regarding investment adviser compliance and investment operations is preferred. Ability to quickly learn new technology platforms and adjust to change. Core Values Strong interpersonal, oral, and written communication and collaboration skills with all levels of management Strong organizational skills including the ability to adapt to shifting priorities and meet frequent deadlines, Demonstrated proactive approach to problem-solving with strong judgment and decision-making capability. Self-disciplined, highly resourceful and collaborative team-player, with the ability to also be independently effective and exude initiative and a sense of urgency. Exemplifies our customer-focused, action-oriented, results-driven culture. Forward looking thinker, who actively seeks opportunities, has a desire for continuous learning, and proposes solutions. Ability to act with discretion and maintain complete confidentiality. Dedicated to the firms values of non-negotiable integrity, valuing our people, exceeding client expectations, and embracing intellectual curiosity and rigor.

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 surveillance alerts and communications subject to first-level review, with a focus on identifying unusual activity and potential compliance issues. Collaborating with business and compliance stakeholders to pinpoint potential market misconduct and escalate compliance issues will be key aspects of your responsibilities. Additionally, you will conduct alert-based reviews to identify potential violations of laws, rules, and regulations. Working alongside your peers, you will handle multiple reports and engage in result-oriented tasks within a fast-paced environment. Furthermore, you will be expected to identify areas for process improvement and actively contribute towards enhancing existing processes. It is essential to proactively highlight key issues, risks, trends, and observations to management and key stakeholders. Possessing a sense of ownership and accountability, you will be responsible for following through on existing issues and cases. The ideal candidate for this role should hold a Bachelor's Degree or possess equivalent experience. A minimum of 6 years of overall experience in E-Communication/trade surveillance is required, along with product experience in financial products such as equities, futures, and fixed income, or knowledge of information barriers/asset management. An understanding of markets and potential market manipulative behavior, coupled with the ability to conduct reviews related to regional rules, regulations, and policies, is crucial. Strong organizational and analytical abilities, attention to detail, and the capacity to handle multiple tasks in a fast-paced environment are essential qualities for this position. Experience with surveillance systems such as Smarsh Connected Archive, NICE VOISS, or similar platforms would be advantageous. As part of the Firms Global Compliance Surveillance team, you will play a vital role in safeguarding the firm against risks and ensuring compliance with regulatory requirements.,

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.