AVP- E-Comm Surveillance

Headquartered in Tokyo, Sumitomo Mitsui Banking Corporation (SMBC) is a leading global financial institution and a core member of Sumitomo Mitsui Financial Group (SMBC Group). Built upon our rich Japanese heritage since 1876, we put our customers first and provide seamless access to, from and within the Asia Pacific region.   SMBC is one of the largest Japanese banks by assets and maintain strong credit ratings across our global integrated network.  We work closely as one SMBC Group to offer personal, corporate and investment banking services to meet the needs of our customers.

With sustainability embedded within our strategy and operations, we are committed to creating a society in which today’s generation can enjoy economic prosperity and well-being, and pass it on to future generations.

Conduct Surveillance: 
•    Carry out surveillance and monitor employee communications across designated channels using surveillance tools and technologies.
•    Analyze communication content for potential violations of: 
o    Insider trading regulations
o    Market manipulation
o    Anti-money laundering (AML) regulations
o    Anti-bribery and corruption (ABC) policies
o    Insider trading policies
o    Conflicts of interest
o    Other relevant regulatory and internal policies
Alert Investigation: 
•    Investigate alerts generated by the surveillance system and other sources.
•    Conduct in-depth analysis of suspicious activity, including reviewing relevant documentation, interviewing stakeholders, and gathering supporting evidence.
•    Escalate potential violations to appropriate internal departments (e.g., Legal, Compliance, Human Resources, Security).
Reporting: 
•    Prepare regular reports on surveillance activities, including key findings, trends, and metrics.
•    Generate reports for regulatory examinations and internal audits.
•    Maintain accurate records of all surveillance activities and investigations.
System Administration: 
•    Assist in the maintenance and configuration of surveillance systems and tools.
•    Conduct system testing and identify areas for improvement.
•    Stay abreast of technological advancements in surveillance and communication tools.
Policy and Procedure Development: 
•    Contribute to the development and maintenance of internal policies and procedures related to electronic communications surveillance.
•    Provide guidance and training to employees on communication policies and best practices.
Regulatory Compliance: 
•    Stay informed of relevant regulations and industry best practices related to electronic communications surveillance.
•    Ensure compliance with all applicable laws and regulations.
 

 Knowledge, Skills, Experience & Qualifications 
•    Master’s degree in finance, Law, Compliance, or a related field.
•    8-10 years of experience in financial services compliance, surveillance, or a related field.
•    Strong understanding of financial markets, regulations, and industry best practices.
•    Experience with electronic communication surveillance tools and technologies.
•    Excellent analytical and problem-solving skills.
•    Strong attention to detail and accuracy.
•    Excellent written and verbal communication skills.