Associate/Vice President, Business Controls Communications Reviewer, Global Markets, Singapore/Tokyo/Hong Kong
Core
Review electronic and voice communications to detect potential violations of laws, regulations, or internal policies within Global Markets.
Role type
Senior IC compliance surveillance analyst
Builds
Risk mitigation and conduct surveillance for Global Markets
Domain
Financial services / Compliance
Deliverable
dashboards & analysis
Required skills
Communication surveillance, Regulatory knowledge, Investigative analysis, Process improvement, Lexicon development, Trend identification
Preferred skills
Mandarin fluency, Japanese/Korean/Hindi/Malay/Thai/Bahasa knowledge, Securities industry experience
Technologies
MS Office, Excel
Responsibilities
Review electronic and voice communications for policy violations, Manage communication surveillance escalations, Develop new lexicon-based surveillances, Participate in process improvement initiatives, Identify areas for new surveillances, Respond to internal partner inquiries
Seniority
Mid-level, hands-on IC