AVP- E-Comm Surveillance

Job Description

Sumitomo Mitsui Banking Corporation Conduct Surveillance: • Carry out surveillance and monitor employee communications across designated channels using surveillance tools and technologies. • Analyze communication content for potential violations of: • Insider trading regulations • Market manipulation • Anti-money laundering (AML) regulations • Anti-bribery and corruption (ABC) policies • Insider trading policies • Conflicts of interest • Other relevant regulatory and internal policies Alert Investigation: • Investigate alerts generated by the surveillance system and other sources. • Conduct in-depth analysis of suspicious activity, including reviewing relevant documentation, interviewing stakeholders, and gathering supporting evidence. • Escalate potential violations to appropriate internal departments (e.g., Legal, Compliance, Human Resources, Security). Reporting: • Prepare regular reports on surveillance activities, including key findings, trends, and metrics. • Generate reports for regulatory examinations and internal audits. • Maintain accurate records of all surveillance activities and investigations. System Administration: • Assist in the maintenance and configuration of surveillance systems and tools. • Conduct system testing and identify areas for improvement. • Stay abreast of technological advancements in surveillance and communication tools. Policy and Procedure Development: • Contribute to the development and maintenance of internal policies and procedures related to electronic communications surveillance. • Provide guidance and training to employees on communication policies and best practices. Regulatory Compliance: • Stay informed of relevant regulations and industry best practices related to electronic communications surveillance. • Ensure compliance with all applicable laws and regulations. Knowledge, Skills, Experience & Qualifications • Master’s degree in finance, Law, Compliance, or a related field. • 8-10 years of experience in financial services compliance, surveillance, or a related field. • Strong understanding of financial markets, regulations, and industry best practices. • Experience with electronic communication surveillance tools and technologies. • Excellent analytical and problem-solving skills. • Strong attention to detail and accuracy. • Excellent written and verbal communication skills. Ensure compliance with regulatory requirements and internal policies related to electronic communications within the Bank. The individual will carry out surveillance and monitor employee communications across various communication channels, including MS Teams, desk phones, emails, Blackberry Chat, Webex to identify potential misconduct, regulatory breaches, and other risks.