Job Summary

The Communications Surveillance Program is to detect potential market misconduct (such as market manipulation, disclosure of Material Non-Public Information, and disclosure of false or misleading information inducing transactions) through the review of Electronic and Voice Communication alerts of identified in-scope employees. This role (Surveillance Project SME) will involve in project implementation, enhancement, and fine-tuning of the recent system to align with communication surveillance requirement.

Key Responsibilities

Processes

Collaborate closely with working group to ensure new implemented system are continuously enhanced and updated.
Act as the primary expert on communication surveillance, such as compliance surveillance workflows, and all core functionalities.
Regular progress reviews and ensure alignment with business objectives.
Oversee & contribute to the implementation, testing, and configuration of communication surveillance systems.
Work with stakeholders to ensure the system is tailored to meet compliance (data roles, security, access etc.)



and all other operational needs.
Ensure system integration with existing technologies (channels in both eComm & Voice) and infrastructure (upstream system etc.)
Validate system performance and functionality through user acceptance testing and feedback.
Serve as a liaison between technical teams, business units, and external vendors.
Work with stakeholders (Data Team) for improving system effectiveness in generating alert, this includes review and manage of lexicons, machine learning exercise, and alert scoring.
Perform initial review of alerts and/or escalate cases by following the relevant Surveillance Procedures to detect potential market misconduct or mis-selling risks as well as irregular behaviour that may lead to regulatory / compliance issues.
Handle escalation on any potential issues from team members, and provide guidance accordingly, e.g. further review analysis, follow up on cases where

📌 Sr. Spl'st, Comms Surv. (Bengaluru)
🏢 Standard Chartered India
📍 Bengaluru