Position Overview
Job Description 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 (Compliance Surveillance Analysts) will conduct reviews of surveilled SCB employees to detect such potential violations, escalate to appropriate parties / control partners e.g.Conduct, Financial Crime and Compliance (CFCC Advisory Compliance), and follow through till case closure. Key Responsibilities Processes Key Duties And Responsibilities Include (but Not Limited To) Responsible for assisting to maintain an up-to-date book of work, which ensures the accurate tracking of workstream deliverables, key decisions, meeting minutes and other relevant documents for the Surveillance Optimisation team. The individual will be regula...