Our client, an established global bank, is looking for experienced candidates in compliance/communication surveillance to join their for 6 months to help out in a short term project of clearing backlogs. We are open to candidates with experience in compliance, middle and back office operations, trade assistants people who understand the workflows well and able to catch irregular emails and clear low risk alerts.
- Review communications of our monitored users to identify potential market misconduct or mis-selling activities using Autonomy / Zovy Supervisor, a vendor tool.
- Drive/encourage initiatives aimed at helping improve efficiency and boost quality of existing surveillance processes (automated alerting / manual monitoring routines) as well as the design and implementation of controls. Actively strive to enhance the current scenarios / systems and challenge status quo through driving improvement/automation initiatives. Manage and protect business as usual capability during change programs/ remediation initiatives
Group Standard Compliance Performance
- Take personal responsibility for understanding the risk and compliance requirements of my role. Understand and comply with, in letter and spirit, all applicable laws, and regulations, including the Group’s policies and procedures; and the Group Code of Conduct.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters
- Embed ‘Here for Good’ and Group’s purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust, and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm
Business Delivery and Performance
- Perform the initial review and/or resolve alerts/cases by following the relevant Surveillance, Monitoring & Conduct Standard Operating Procedure to detect potential market misconduct, as well as irregular behavior that may lead to regulatory / compliance issues. Escalate flagged messages to the Communications Surveillance escalation team for further review and follow up.
- Escalate any potential technical issues to Communications Surveillance Change team for follow up with Production Support team
- Ad hoc data retrievals and reviews from source, ie Bloomberg Vault, Reuters Messenger Compliance Module, Discovery Accelerator, OCS, and Ice Chat, where applicable.
- Periodic review and escalation of chat room administration and usage monitoring
- Periodic manual monitoring by ensuring proper reviews were done and escalations where required to Communications Surveillance escalation team for further review and follow up
Log and record keeping of ad hoc retrievals/reviews, periodic reviews of chat room administration and usage monitoring and periodic manual monitoring reviews
Communicate and Collaborate
- Support effective and timely communication along with collaboration cutting through functions and business
- Work closely with teams across region, more specifically with the process owners (i.e. in Singapore and HK) to maintain high level of engagement and participate in various possible improvisations, and/or Surveillance initiatives.
- Bachelor degree and 4 - 8 years of work experience in the financial industry, preferably in the market conduct / compliance surveillance space
- Banking: knowledge in terms of customers, products, and operations
- Bank training; i.e. mandatory & developmental – role specific, and regulatory / compliance bank wide & role specific
- Experience in the communication surveillance process
- Experience in use of Autonomy / Zovy Supervisor preferred
- Proficient in MS Office
- Excellent communication in English (articulation and writing)
Interested applicants are encouraged to submit their resumes for consideration at firstname.lastname@example.org.
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