Associate 1 Sr Associate- Comms -Global Deluvery Center
Associate 1 Sr Associate- Comms -Global Deluvery Center
Posted on :
10-10-2024
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1 Vacancy
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Job Description
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
- Provide daytoday 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
Candidate Summary:
EXperience Into Capital Markets Ecommerce Investigations Escalations .
1yrs
Chennai
EComm Surveillance,Capital Market
Employment Type
Full Time
Key Skills
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