Job Purpose This role is part of corporate and forensic compliance team and works closely with stakeholders for conducting investigations and administration of all aspects of electronic communication e-comm surveillance and mitigate risks that could arise from data breaches One of the key responsibilities will be to support and deliver the objectives of clients and ensure that all investigations are conducted in accordance with policies procedures applicable laws and regulations and all evidence is collected and preserved in a manner prescribed by the clients Key Responsibilities o The team combines regulatory knowledge with operations skills to support client in a high-volume compliance task Reviewing E-comms Emails Bloomberg s Chats and Voice calls and identifying breaches to mitigate risks Communicate extensively with onshore partner to escalate resolve issues Continue to innovate and provide effective client solutions Build a strong rapport within the team and with the client Manage multiple tasks independently and ensure high quality output Manage and handle client relationships to ensure smooth delivery Responsible for MIS and all the periodic dashboards for the client Responsible for new member s trainings and executing according to plan Review and sign off on team s daily deliverables Keep a track of daily weekly biweekly monthly and quarterly targets deliverables for the client and work with the team on timely delivery Possess strong knowledge of documentation SOP s and process workflows Stay abreast of regulatory developments and industry best practices related to e-comm surveillance to suggest improvements in the client s process Develop positive interpersonal relationship with the clients to get the best information and insights from them Undertake a variety of ad hoc tasks as required Extensive interaction with client s compliance team in supporting their needs Communication with cross functional teams senior management Contribute towards preparation of compliance documentation decks as prescribed by clients Preparation of various MIS dashboards and other reports Key Competencies Qualifications Skills Bachelor s degree required preferably in accounting finance law business management or related field Understanding of regulatory landscape in US UK or APAC Understanding of financial services industry predominantly asset wealth management firms investment banks private equity firms and broker dealers Knowledge of financial instruments including equity fixed income derivatives structure products etc Understanding of regulatory bodies and regional regulators e g FINRA SEC FCA SFC MAS etc o Sound Knowledge in e-comm monitoring and surveillance o Strong communication skills - written and verbal Strong proficiency in Microsoft applications Preferred skills A certification in financial market or products will be an added advantage Ability to work collaboratively with cross-geographical teams Display team-work orientation and ability to multi-task Experience 8-12 years of experience in compliance particularly in e-comm surveillance o Understanding of financial markets and financial instruments including awareness of securities trading trade life cycle etc o Familiarity with e-comm surveillance tools is a plus