Senior AVP, Surveillance & Risk Analytics

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

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.