Senior Analyst/AVP, Surveillance & Control Room (Compliance Department) - SMBC
Core
Conduct Level 2 reviews of electronic communications and trade surveillance alerts, process wall crossings and watch lists, and manage information barriers and conflicts of interest within a global bank.
Role type
Senior Analyst/AVP, Surveillance & Control Room (Compliance)
Builds
Surveillance alert resolution, information barrier controls, and regulatory reporting for the Asia Pacific region.
Domain
Banking / Compliance / Market Conduct
Deliverable
dashboards & analysis
Required skills
Alert review, investigations, information barriers, conflicts of interest, risk assessment, regulatory interpretation, data analysis, Excel, Power BI
Preferred skills
Professional certification, case management systems, vendor coordination, thematic reviews
Technologies
Excel, Power BI, surveillance systems, case management systems
Responsibilities
Conduct Level 2 reviews of surveillance alerts; assess and escalate potential misconduct; process wall crossings and watch lists; advise on information barrier requirements; enhance surveillance policies and systems; support investigations and management reporting.
Seniority
Senior, hands-on IC