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Communications Surveillance Associate

1 month ago

London, United Kingdom Sumitomo Mitsui Banking Corporation – SMBC Group Full time

Purpose of Job

Reporting to the EMEA Head of Surveillance, based in London or Dublin, the Communications Surveillance Associate role will be responsible for completing allocated surveillance tasks defined under the firm’s Surveillance Monitoring Plan (‘SMP’).


The SMP is a critical part of the compliance oversight framework and is the responsibility of the Surveillance team to complete effectively in order to mitigate conduct and compliance risk. The Communications Surveillance Associate is expected to contribute actively towards the completion; improvement and development of the SMP through their role, as well as ensuring issues are properly escalated and managed as per the firm’s escalation policy under the direction of the EMEA Head of Surveillance.


Facts / Scale

Compliance Monitoring and Surveillance is a key defence for the Group in meeting regulatory expectations, improving compliance processes, policies and confirming the adherence to and implementation of controls across the three lines of defence and thereby avoiding regulatory censure. In any inspection or review activity, Regulators will expect to scrutinise details of the firm’s monitoring and surveillance activity.


This role does not have any budgetary or line management responsibility.


Accountabilities & Responsibilities

  • Assist in developing a Compliance Risk Assessment (‘CRA’) methodology which will result in a risk adjusted impactful SMP making the most effective use of existing resources;
  • Completing aspects of the CRA, Market Abuse Risk Assessment and other Departmental Risk Assessments or gap analysis as appropriate;
  • Assist with maintaining and updating the communications surveillance programme to maintain its effectiveness;
  • Execute the SMP (i.e., review, investigation and timely closure & documentation of surveillance alerts);
  • Escalate any issues arising from communications surveillance and manage as per the Group’s escalation policy;
  • Draft internal and external investigation summaries and Suspicious Transaction Order Reports (STORs);
  • Assist in the preparation of internal and external reports and related material gathering e.g. monthly Compliance MI packs;
  • Coordinate technology solutions for the communications surveillance programme;
  • Monitor European and UK regulatory developments and identify new regulations that will impact the organisation;
  • Monitor appropriate information and insider trading prevention procedures;
  • Assist with the Firm’s application of internal Compliance policies and procedures, FCA rules and SMBC Global Compliance objectives;
  • In conjunction with EMEA Head of Surveillance conduct Quality Assurance (‘QA’) and oversight of other surveillance tasks conducted by the Compliance Department;
  • Work collaboratively on tasks with other members of the Surveillance team and the broader Compliance team, where applicable;
  • Liaise with industry bodies as relevant;
  • Attend all Compliance meetings as required and complete mandatory training on a timely basis;
  • Keep abreast with changes in products / activities of the Group and / or regulations that may have impact on risks to the Group; and
  • Assist and / or co-ordinate compliance surveillance related projects.


Experience & Knowledge

  • Experience of communications surveillance and awareness of associated industry practices and disciplines;
  • Good knowledge of financial services, markets, securities and banking activities;
  • Regulatory awareness and understanding of the emerging regulatory landscape;
  • The ability to manage a number of issues / investigations concurrently;
  • Native-level proficiency in the English language, both verbally and in writing is required. Fluency in Japanese; German; French; Spanish and any other European language a strong plus;
  • Accuracy and attention to detail;
  • Self-motivation;
  • The ability to build effective relationships across the three lines of defence;
  • The ability to work independently and as part of a team; and
  • The ability to work under pressure.