About the role
The Associate, Specialist Business Compliance role involves performing trade and communications surveillance for Global Financial Markets, including using automated systems, reviewing alerts, managing control room responsibilities, and designing AI tools to improve efficiency.
BankingOnsite
Key Responsibilities
- Perform trade surveillance monitoring for Global Financial Markets (GFM) using automated trade surveillance system and internal reports to identify potential market abuse or misconduct and ensure adherence to applicable regulatory and internal compliance requirements.
- Perform communications review for GFM by reviewing alerts in automated communication surveillance system (ECRUISE), conduct voice monitoring and sampling review etc.
- Ensure timely and effective review of alerts generated by surveillance systems and internal reports.
- Review and manage surveillance exceptions and prepare reports to management.
- Investigate, document and close surveillance alerts thoroughly and within required timelines, ensuring that significant issues are fully investigated and promptly escalated (e.g. UAE/STR) where necessary.
- Ensure surveillance monitoring procedures and parameters are appropriately maintained and updated to reflect changes in business activities and market conditions.
Requirements
- Bachelor's degree in Accountancy, Finance, or a related discipline.
- 1–3 years of relevant experience in trade surveillance, communications surveillance, compliance monitoring, control room operations, or a related risk or surveillance function within a financial institution.
- Good understanding of market conduct, market abuse risks, and the role of surveillance and controls within financial markets.
- Exposure to or strong interest in automated surveillance systems, alert reviews, or communications monitoring (on‑the‑job training will be provided).
- Strong analytical skills, attention to detail, and ability to manage multiple priorities under time‑sensitive conditions.
- Ability to work collaboratively with team members across compliance, business, and technology functions.