Communications Surveillance Compliance Officer – Associate / Vice President

Job description

Conduct preliminary investigations into flagged communication alerts, document findings and prepare reports for different stakeholders, namely local compliance, and senior management. Utilize Communication surveillance tools to analyze and identify potential instances of insider dealing, Conflicts of Interest, Financial Crime and Non-Market Conduct issues that need to be investigated and escalated. Promptly investigate and clearly communicate issues arising from surveillance activities, involving advisory compliance as required, and follow issues through to full resolution with the business lines, as appropriate.

Collaborate with senior compliance officers to address identified issues and participate in team discussions to analyze and interpret findings. Maintain accurate and detailed records of surveillance activities and investigations in accordance with internal policies and regulatory requirements. Promote ideas to ensure SG has a robust Communications surveillance and control framework across APAC, aligned with EMEA and AMER, to detect market abuse / misconduct risks and escalate incidents and possible breaches to relevant stakeholders.

Provide guidance & expertise to both onshore and offshore teams in executing surveillance and investigation activities, maintaining team production efficiency through regular catchups to ensure consistency in surveillance procedures and adherence to SG Code. Handle escalations from more junior staff members who are performing Communications surveillance alert reviews, conducting investigations and escalating cases to stakeholders, including local compliance and LOD1 controls / MARK.

Support the management and delivery of daily/weekly/monthly/quarterly reports on Communications activity, remediation, compliance metrics, and surveillance findings. Assist in data management and reconciliation processes related to surveillance. Take ownership of reporting and monitoring tools, ensuring timely delivery of metrics and insights. Engage in transversal projects with various stakeholders to enhance information sharing and teamwork across the business unit and region.

Actively participate in regulatory and internal investigations. HKMA Enhanced Competency Framework (ECF) certification is preferred