Communications Surveillance Associate

Role Description

Sumitomo Mitsui Banking Corporation is hiring an E-communications Surveillance Associate.  This role is responsible for reviewing corporate electronic communications and escalating suspicious or non-compliant events. The candidate will need to consider FRB, FINRA, SEC and CFTC rules, as well as internal policies.

Role Objectives

• Timely review of incoming/outgoing electronic and voice communications.
• Identifying electronic and voice communications that require further investigation and escalating to an appropriate line of business supervisors or control function, accompanied by appropriate documentation to support the escalation.
• Staying abreast of relevant regulations, industry best practices, and internal policies.
• Supporting ad-hoc special investigations at the direction of management.
• Participating in projects to expand, improve, and refine the electronic and voice communications surveillance program for the Americas Division.

Qualifications and Skills

• Working knowledge of systems used for electronic message and voice recording reviews.
• Fluency in Spanish and/or Portuguese required.
• Experience with Surveil-X is desired.
• Prior work experience in the financial industry.
• Experience in MS Excel required.