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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.

Mumbai

Hyderabad

Assistant Vice President - eCommunications Surveillance & Automation 

Job Description for Assistant Vice President - eCommunications Surveillance & Automation  in LIVE CONNECTIONS in  Mumbai Hyderabad for (16-25) years of experience. Apply Now!

Assistant Vice President - eCommunications Surveillance & Automation  | iimjobs.com