Job Title: AVP - E-Communications Surveillance & Automation

Location: Hyderabad / Mumbai, India

Reports To: VP - Global Head of Compliance

Role Overview:

- The AVP - E-Communications Surveillance & Automation will serve as the India Head for the E-communications surveillance and compliance function, overseeing teams across Hyderabad and Mumbai.

- The role is responsible for leading E-communications surveillance operations, compliance governance, and automation initiatives, ensuring alignment with global compliance policies and regulatory expectations.

- This position requires a seasoned compliance professional with strong experience in E-communications surveillance, data analytics, automation, and team leadership within the asset management or investment management domain.

Key Responsibilities:

Leadership & Governance

- Lead the E-communications surveillance and compliance operations teams across India, ensuring adherence to global standards and policies.

- Act as the India functional lead, representing the surveillance and automation function in regional governance and compliance forums.

- Establish strong governance, reporting, and escalation mechanisms for E-com surveillance operations.

E-Communications Surveillance

- Oversee daily monitoring of emails, chats, collaboration tools (e.g., Teams, Bloomberg, Zoom, Symphony) to identify potential policy violations or misconduct.

- Ensure efficient alert management, review quality, and timely escalation of potential issues to global compliance.

- Enhance and maintain surveillance lexicons, rules, and keyword libraries in alignment with changing regulatory and business needs.

- Manage QA reviews, control testing, and audit responses for surveillance activities.

- Partner with global compliance to implement best practices and risk-based monitoring models.

Automation & Process Transformation

- Drive automation, analytics, and workflow optimization within the E-com surveillance and compliance teams.

- Collaborate with technology and data teams to implement digital tools (e.g., Alteryx, Power BI, Python, NLP) for efficiency and insight generation.

- Explore AI/ML-based solutions for improving detection quality and reducing false positives.

- Lead initiatives that enhance process transparency, reporting accuracy, and audit readiness.

People Management

- Lead and mentor teams across Hyderabad and Mumbai, fostering a culture of compliance, accountability, and innovation.

- Ensure continuous learning and domain upskilling for surveillance and automation professionals.

- Drive performance management, talent development, and succession planning for the India team.

Stakeholder & Global Collaboration

- Act as the India liaison for global compliance, coordinating with regional compliance heads, internal audit, and risk partners.

- Provide management updates, MIS, and dashboards for leadership and regulatory reviews.

- Contribute to the design and execution of global compliance automation strategies.

Required Skills & Qualifications:

- 16+ years of experience in E-communications surveillance, conduct risk, or compliance operations within Asset Management / Investment Management / Banking.

- Strong understanding of global compliance standards (SEC, FINRA, FCA, SEBI, MiFID, etc.).

- Proven track record in managing E-com surveillance tools such as NICE, Actiance, Smarsh, Global Relay, Proofpoint, Veritas, Behavox, etc.

- Hands-on exposure to automation and data analytics platforms (e.g., Alteryx, Power BI, Python, NLP, ML).

- Demonstrated ability to lead multi-site teams and manage senior stakeholder relationships.

- Excellent communication, analytical, and problem-solving skills.

- Bachelor's degree in Finance, Technology, or related field; advanced degree or compliance certification (CAMS, ICA, ACAMS, CFA) is preferred.