Electronic Communications Surveillance (E-mail surveillance) Associate/Senior Associate/Assistant Manager - Mumbai
Standard / Permanent
COMPLIANCE AND PERMANENT CONTROL
Business Case/ Justification :
the ECS group is part of the capital markets compliance team of cib. it is responsible for reviewing
the electronic communications of the employees who conduct the business of the firm, such as bankers,
sales, brokers and traders. The surveillance models for APAC Compliance are expanding at a very fast
pace. This expansion is being driven by new regulations and by recommendations from internal
and external Audits and Regulatory visits. This expansion will also increase the surveillance
coverage and will require additional staff to investigate each occurrence to determine whether
there is sufficient reason to generate a suspicious activity report.
RESPONSIBILITIESOF THE CANDIDATE:
Principle Business Responsibilities :
- 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.
Core Activities Covered :
E-Mail, Bloomberg AND REUTERS Chats, InstantMessaging, etc.
Graduate or higher level
PROFILE OF THECANDIDATE
Bachelor’sdegree or higher, in some type of investment banking discipline
- 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.
Technicalskills & Experience:
- 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