Compliance Surveillance Specialist

Sumitomo Mitsui Banking Corporation (Sathon)

Sathon

Bangkok, Thailand

Sumitomo Mitsui Banking Corporation (SMBC) is one of the world’s leading financial Institutions providing customers with optimal solutions using a wide array of financial products. SMBC boasts a number of competitive advantages, including a strong customer base, the quick implementation of strategies, and an extensive lineup of financial products that leverage the expertise of strategic Group companies in specialized areas. As a pivotal member of Sumitomo Mitsui Financial Group (SMFG), SMBC works closely with other Group companies to offer customers highly sophisticated, comprehensive financial services.

About this position

The Compliance Surveillance Specialist is responsible for monitoring the Bank’s communication channels to ensure adherence to compliance rules and conducting investigations into any suspicious activities.

Responsibilities

• Perform surveillance works on the Bank’s communication channels to detect any violation of HO/Local Compliance rules.
• Perform detailed investigation including obtain clarification and supporting documents from relevant BUs on any suspicious found from surveillance works.
• Prepare clear and concise reports of surveillance findings for management, highlighting potential concerns and providing actionable recommendations.
• Engage in special projects or initiatives relate to Compliance as needed.

Requirements

• Minimum of 5-7 years of experience in Banking, Compliance, Audit or related field.
• Bachelor’s or Master’s degree in Banking & Finance, Accounting, Laws or related fields.
• Excellent command of English both communication and writing abilities.
• Excellent computer skills in Microsoft Office (Excel, Word, PowerPoint)
• Strong analytic skills and ability to exhibit curious and investigative approach.
• Ability to collaborate with others and establish working relationships.