Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division - SMBC

Company : Sumitomo Mitsui Banking Corporation

Job Description - Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division - SMBC

The role supports effective management of Compliance risks by p erforming Level 1 e-communications surveillance, monitoring and testing, and case follow-up, while supporting surveillance improvements and secondary compliance activities .

Job Responsibilities

1. E-Communications Surveillance (Core Responsibility)

Perform Level 1 review of surveillance alerts, including initial triage, filtering, and identification of potential issues across email, chat, and voice channels
Follow up with front office or relevant staff to obtain clarifications on flagged communications, including tracking and monitoring cases, breaches, and remediation actions, ensuring timely closure

2. Monitoring & Testing

Perform sample reviews of communications as part of periodic monitoring and compliance testing processes
Identify and record exceptions, control gaps, and potential policy breaches, including use of non-approved communication channels
Support preparation of surveillance reports, including summaries of findings and key issues identified

3. Surveillance Support & Improvements

Support maintenance of keyword libraries, alert parameters, and surveillance scenarios
Highlight recurring issues or false positives, and suggest practical improvements to enhance monitoring effectiveness
Assist in reviewing adherence to approved communication channels requirements, including record-keeping and monitoring expectations

4. Compliance Support (Secondary)

Support day-to-day compliance queries from business units (non-legal)
Support compliance team in training, awareness, and ad hoc tasks/projects

Job Requirements

Degree holder; compliance-related qualifications are advantageous
1-3 years of relevant experience, preferably in compliance monitoring or surveillance within a bank or financial institution
Hands-on experience in e-communications surveillance (Level 1 and/or Level 2) is strongly preferred
Familiarity with alert review, case handling, and escalation processes
Awareness of risks relating to unapproved communication channels and record-keeping requirements
Working knowledge of SFA, FAA and banking regulatory requirements in Singapore is a plus
Strong attention to detail with good analytical and investigative skills
Able to follow structured processes, document clearly, and handle high-volume review work
Practical, disciplined, and able to work independently within defined frameworks

(This is a 12 months contract role)

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Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division - SMBC

Job Description - Analyst, Communications Surveillance, Compliance Department, Asia Pacific Division - SMBC

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