Manager - Compliance - Electronic Communication Surveillance Team - BFSI

The electronic Communication Surveillance team provides support to Companies entities globally on monitoring of electronic communication and voice surveillance. It ensures that the firm conform to rules and regulations prescribed by the relevant regulators in region. Team ensure that the employees are adhering to polices and there is no dissemination of information that can cause financial, reputational, regulatory and financial risk to the firm. It ensures that the employee communication channels & Chinese walls are adhered.

Title: Manager

Experience: 8 - 10 years

Qualification: Graduate / Post Graduate

Role & Responsibilities:

Responsible for the surveillance of electronic communications and voice communications - Mails/Messages/Voice calls internal and external to the Firm

- Identify any non-compliant or suspicious activity and escalate questionable electronic communications to the relevant compliance officer/manager

- Remain updated on developments and changes concerning relevant regulations

- Develop and maintain a good understanding of the Firm's business groups and product s, including, but not limited to, Fixed Income, Investment Banking, Equity Research and Equities

- Good Knowledge of the EU regulatory environment and the MAR directive

- Identifying gaps within the process and implementing appropriate controls

- Experience in team handling will be preferred