Senior Analyst/AVP, Surveillance & Control Room (Compliance Department)
Senior Analyst/AVP, Surveillance & Control Room (Compliance Department)
SMBC Group- Posted 16 hours ago
- Be among the first 10 applicants
Job Description
Job Responsibilities
Conduct Surveillance
Job Requirements
Attention to Detail
Conduct Surveillance
- Conduct Level 2 reviews of electronic communications, trade and other surveillance alerts, and cover Level 1 reviews when required.
- Assess, document, close or escalate alerts and potential misconduct in line with procedures.
- Perform quality checks, guide Level 1 reviewers and monitor alert queues, ageing and backlogs.
- Analyse trends, support investigations and thematic reviews, and prepare management reporting.
- Enhance surveillance policies, procedures, scenarios and systems, and support audits and regulatory reviews.
- Support the regional rollout of surveillance systems and enhancements to the regional surveillance framework.
- Support implementation and enhancement of surveillance tools, including vendor coordination and solution validation
- Process and review wall crossings, watch lists, restricted lists and related records, including maker-checker controls.
- Assess conflicts, confidential or material non-public information, and information barrier requirements arising from transactions and business activities.
- Advise stakeholders, implement restrictions promptly and escalate complex or high-risk matters.
- Conduct periodic reviews, support investigations and reporting, and help strengthen Control Room governance and controls.
Job Requirements
- Degree in Finance, Accounting, Business, Economics or a related discipline; relevant professional certification is an advantage.
- 3–6 years relevant experience in compliance, surveillance, Control Room, risk management or audit within a financial institution.
- Experience in alert review, investigations, market conduct, information barriers or conflicts management is preferred. Candidates with less experience may be considered at Senior Analyst level.
- Good understanding of market conduct, conflicts of interest, information barriers and banking or capital markets activities.
- Familiarity with surveillance or case management systems; strong Excel, Power BI or data analysis skills are preferred.
- Strong oral and written communication skills in particular fluency in English.
- Fluency in languages other than languages would also be a value add.
Attention to Detail
- Ability to review complex client structures, transactions, and documentation with a high degree of accuracy
- Strong focus on identifying inconsistencies, gaps, and potential compliance risks
- Capability to assess issues pragmatically and provide practical, risk-based solutions
- Able to balance business needs with regulatory expectations
- Strong analytical skills to interpret regulations and apply them to real-world scenarios
- Ability to challenge assumptions and escalate concerns appropriately
- Clear and effective communication skills, both written and verbal
- Ability to interact confidently with stakeholders, including relationship managers, senior management, and regulators
- Skilled in translating regulatory requirements into practical guidance for the business
- Ability to identify, assess, and monitor compliance and conduct risks
- Experience in performing risk assessments, surveillance, and thematic reviews
- Good judgment in evaluating risk appetite and escalation thresholds
More Info
Key Skills
About Company
Skills:
Use Cases, Power Bi, User Stories, Tableau, JIRA, Sql, Confluence, Requirements Management, Agile, Data Governance, Data Transformation, Data Controls, Acceptance Criteria, Data Quality Management, Visio, Reporting, Business Analysis, Analytics, Data Analysis, Process Maps, AI-enabled solutions
Skills:
Confluence, Power Bi, Agile, Tableau, Data Governance, JIRA, Sql, Data Transformation, Visio, Reporting, Analytics
Global Markets Securities Finance Senior Business Analyst, AVPoversea-chinese banking corporation limited
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Skills:
data reconciliation , Process Modelling, Uat, Requirements Elicitation, Functional Specifications, JIRA, Swift, Confluence, User Stories, Regression Testing, Defect Management, Sit, Pirum, Business Analysis, EquiLend, Target operating model design, Acceptance criteria, Securities Lending and Borrowing, Collateral Management, Trade capture, Murex, Settlement, Repo, Margin Financing, Asset Swap, Securities Finance lifecycle
Skills:
smartstream tlm , Power Bi, Sql, Rpa Tools, Power Automate, Python, Blue Prism, Uipath, Intellimatch, Automation Anywhere, DUCO