Senior Analyst/AVP, Surveillance & Control Room (Compliance Department)

SMBC Group; Singapore; On-site; SGD 70,000 - 100,000; Full time

Job summary

SMBC Group in Singapore is seeking a Compliance Analyst to perform Level 2 reviews of electronic communications and surveillance alerts, while supporting Level 1 reviews as needed. The role includes documenting, closing or escaping alerts and monitoring queues to ensure timely remediation of potential misconduct.

The ideal candidate will have 3–6 years in compliance or surveillance within financial services, strong analytical skills, and proficiency with Excel and Power BI.

Qualifications

• Degree in Finance, Accounting, Business, Economics or a related discipline; relevant professional certification is an advantage.
• Experience in alert review, investigations, market conduct, information barriers or conflicts management is preferred. Candidates with less experience may be considered at Senior Analyst level.
• Familiarity with surveillance or case management systems; strong Excel, Power BI or data analysis skills are preferred.

Responsibilities

• Conduct Level 2 reviews of electronic communications, trade and other surveillance alerts, and cover Level 1 reviews when required.
• Assess, document, close or escape alerts and potential misconduct in line with procedures.
• Perform quality checks, guide Level 1 reviewers and monitor alert queues, ageing and backlogs.
• Analyse trends, support investigations and thematic reviews, and prepare management reporting.
• Enhance surveillance policies, procedures, scenarios and systems, and support audits and regulatory reviews.
• Support the regional rollout of surveillance systems and enhancements to the regional surveillance framework.
• Support implementation and enhancement of surveillance tools, including vendor coordination and solution validation

Skills

Attention to Detail

Problem Solving

Critical Thinking

Communication

Risk Assessment

English Fluency

Education

Degree in Finance/Accounting/Business/Economics

Tools

Excel

Power BI

Data Analysis

Job description

• Conduct Level 2 reviews of electronic communications, trade and other surveillance alerts, and cover Level 1 reviews when required.
• Assess, document, close or escape alerts and potential misconduct in line with procedures.
• Perform quality checks, guide Level 1 reviewers and monitor alert queues, ageing and backlogs.
• Analyse trends, support investigations and thematic reviews, and prepare management reporting.
• Enhance surveillance policies, procedures, scenarios and systems, and support audits and regulatory reviews.
• Support the regional rollout of surveillance systems and enhancements to the regional surveillance framework.
• Support implementation and enhancement of surveillance tools, including vendor coordination and solution validation

Job Responsibilities

• Conduct Level 2 reviews of electronic communications, trade and other surveillance alerts, and cover Level 1 reviews when required.
• Assess, document, close or escape alerts and potential misconduct in line with procedures.
• Perform quality checks, guide Level 1 reviewers and monitor alert queues, ageing and backlogs.
• Analyse trends, support investigations and thematic reviews, and prepare management reporting.
• Enhance surveillance policies, procedures, scenarios and systems, and support audits and regulatory reviews.
• Support the regional rollout of surveillance systems and enhancements to the regional surveillance framework.
• Support implementation and enhancement of surveillance tools, including vendor coordination and solution validation

Conduct Surveillance

• Conduct Level 2 reviews of electronic communications, trade and other surveillance alerts, and cover Level 1 reviews when required.
• Assess, document, close or escape alerts and potential misconduct in line with procedures.
• Perform quality checks, guide Level 1 reviewers and monitor alert queues, ageing and backlogs.
• Analyse trends, support investigations and thematic reviews, and prepare management reporting.
• Enhance surveillance policies, procedures, scenarios and systems, and support audits and regulatory reviews.
• Support the regional rollout of surveillance systems and enhancements to the regional surveillance framework.
• Support implementation and enhancement of surveillance tools, including vendor coordination and solution validation

Control Room

• Process and review wall crossings, watch lists, restricted lists and related records, including maker-checker controls.
• Assess conflicts, confidential or material non-public information, and information barrier requirements arising from transactions and business activities.
• Advise stakeholders, implement restrictions promptly and escalation complex or high-risk matters.
• Conduct periodic reviews, support investigations and reporting, and help strengthen Control Room governance and controls.

Qualifications

Job Requirements

• Degree in Finance, Accounting, Business, Economics or a related discipline; relevant professional certification is an advantage.

Experience

• 3–6 years’ relevant experience in compliance, surveillance, Control Room, risk management or audit within a financial institution.
• Experience in alert review, investigations, market conduct, information barriers or conflicts management is preferred. Candidates with less experience may be considered at Senior Analyst level.

Technical Knowledge

• Good understanding of market conduct, conflicts of interest, information barriers and banking or capital markets activities.
• Familiarity with surveillance or case management systems; strong Excel, Power BI or data analysis skills are preferred.
• Strong oral and written communication skills in particular fluency in English.
• Fluency in languages other than languages would also be a value add.

Key Competencies

Attention to Detail

• Ability to review complex client structures, transactions, and documentation with a high degree of accuracy
• Strong focus on identifying inconsistencies, gaps, and potential compliance risks

Problem-Solving

• Capability to assess issues pragmatically and provide practical, risk-based solutions
• Able to balance business needs with regulatory expectations

Critical Thinking

• Strong analytical skills to interpret regulations and apply them to real-world scenarios
• Ability to challenge assumptions and escalation concerns appropriately

Communication

• Clear and effective communication skills, both written and verbal
• Ability to interact confidently with stakeholders, including relationship managers, senior management, and regulators
• Skilled in translating regulatory requirements into practical guidance for the business

Risk Assessment

• Ability to identify, assess, and monitor compliance and conduct risks
• Experience in performing risk assessments, surveillance, and thematic reviews
• Good judgment in evaluating risk appetite and escalation thresholds