Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division - SMBC
Core
Perform Level 1 e-communications surveillance, monitoring, testing, and case follow-up to manage compliance risks across email, chat, and voice channels.
Role type
Level 1 compliance surveillance analyst
Builds
Surveillance reports, summaries of findings, and key issues identified
Domain
Financial services / Banking compliance
Deliverable
dashboards & analysis
Required skills
e-communications surveillance, alert triage, case handling, regulatory awareness, analytical skills, documentation
Preferred skills
Level 2 surveillance experience, knowledge of SFA/FAA, familiarity with unapproved channel risks
Technologies
Email, chat, voice channels
Responsibilities
Review surveillance alerts, follow up with staff for clarifications, perform sample reviews for monitoring, maintain keyword libraries, support compliance queries
Seniority
Junior, 1-3 years experience