Ecomm Surveillance

Direct Responsibilities • Detect, review and report potentially suspicious activities. • Review Voice communications of bank employees for adherence to firm and regulatory rules and requirements. • Use any available research tools to identify publicly available information concerning transactions and communications identified for further investigation. • Conducting both routine and special inquiries as required or requested. • Performing routine administrative duties and reviews • Working with FOCS managers to resolve instances of apparent breaches from firm and regulatory rules • Proactive and timely escalation of issues (including those from investigations) with adequate supporting information to the Monitoring Manager Contributing Responsibilities • Provide day-to-day assistance and support to the local Surveillance teams • Assisting in regulatory and internal investigations as assigned by the FOCS Management Team • Ensure that relevant procedures, systems and controls are up to date and effective, and to identify / facilitate remedial action where necessary • Assist in preparing management information and reporting regarding surveillance and monitoring activities • Contribute to the implementation Regulatory, Group and CIB standards against market abuse and breaches of Conduct of Business rules etc. • Assist in the enhancement of existing processes and develop new processes for identifying instances of Market Abuse and breaches to Conduct of Business and Exchange rules etc. • Ensure the use of workflow investigation tools APAC Job Description Template November 2018 Classification : Internal Technical & Behavioral Competencies • Demonstrate personal initiatives, ownership and accountability • Strong Focus on Meeting Deadlines • Additional European language skills preferred • System Skills on Nice Fusion Communication Surveillance is an added advantage