Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division
Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division
SMBC Group- Posted 5 days ago
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Job Description
Job Responsibilities
- E‑Communications Surveillance (Core Responsibility)
- Perform Level 1 review of surveillance alerts, including initial triage, filtering, and identification of potential issues across email, chat, and voice channels
- Follow up with front office or relevant staff to obtain clarifications on flagged communications, including tracking and monitoring cases, breaches, and remediation actions, ensuring timely closure
- Monitoring & Testing
- Perform sample reviews of communications as part of periodic monitoring and compliance testing processes
- Identify and record exceptions, control gaps, and potential policy breaches, including use of non-approved communication channels
- Support preparation of surveillance reports, including summaries of findings and key issues identified
- Surveillance Support & Improvements
- Support maintenance of keyword libraries, alert parameters, and surveillance scenarios
- Highlight recurring issues or false positives, and suggest practical improvements to enhance monitoring effectiveness
- Assist in reviewing adherence to approved communication channels requirements, including record-keeping and monitoring expectations
- Compliance Support (Secondary)
- Support day-to-day compliance queries from business units (non-legal)
- Support compliance team in training, awareness, and ad hoc tasks/projects
- Degree holder; compliance-related qualifications are advantageous
- 1–3 years of relevant experience, preferably in compliance monitoring or surveillance within a bank or financial institution
- Hands-on experience in e‑communications surveillance (Level 1 and/or Level 2) is strongly preferred
- Familiarity with alert review, case handling, and escalation processes
- Awareness of risks relating to unapproved communication channels and record-keeping requirements
- Working knowledge of SFA, FAA and banking regulatory requirements in Singapore is a plus
- Strong attention to detail with good analytical and investigative skills
- Able to follow structured processes, document clearly, and handle high-volume review work
- Practical, disciplined, and able to work independently within defined frameworks
More Info
About Company
Skills:
SFC, MAS, SFA, Problem-solving skills, Regulatory Reporting, Compliance functions