Electronic Communications Surveillance (E-mail surveillance) Associate/Senior Associate/Assistant Manager - Mumbai
Standard / Permanent
COMPLIANCE AND PERMANENT CONTROL
- Detect,review and report on possible suspicious activities.
- Reviewing electroniccommunications of company employees for adherence to firm and regulatory rulesand for appropriateness.
- Identifyactual violations of regulatory requirements and internal policies andprocedures.
- Conductingboth routine and special inquiries as required or requested.
- Working withboth business and compliance managers to resolve instances of apparentdeviations from firm and regulatory rules
- help promotestrong and consistent corporate governance, ethical conduct and risk managementthrough thorough investigations and analysis
- Performingroutine administrative duties and reviews.
E-Mail, Bloomberg AND REUTERS Chats, InstantMessaging, etc.
Graduate or higher level
- Professionallevel knowledge of securities and banking regulation.
- Fluentreading proficiency in English. (any other international language will be aplus e.g. CHINESE, JAPANESE,French)
- Knowledge ofTrading and Business Terminology.
- 2+ years'Surveillance/Compliance experience within a financial services/securitiesenvironment.
- Knowledge ofMS Office specifically Excel.
- Demonstrate personal initiatives, ownership and accountability
- Strong Focus on Meeting Deadlines
- An eye for detail
- general understanding of the associated risks
- timely and quality escalations