Officer(400)- Conduct Risk Control Room – Surveillance Manager Job Vacancy in State Street Bengaluru, Karnataka – Updated today

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Full Details :
Company Name : State Street
Location : Bengaluru, Karnataka
Position :

Job Description : Conduct Risk Control Room – Surveillance Manager
Role Profile Summary
Conduct Risk Control Room at State Street requires a Surveillance Manager to deliver a program of enhanced surveillance for employee conduct & conflict risk. The includes management of a team of surveillance analysts and requires collaboration with offshore and onshore functional managers.
Enhanced surveillance is a fundamental component of the Conduct Risk Office Oversight Program and the role is intended to work closely with Conduct Risk leaders across offshore surveillance teams and subject matter experts globally.
In this role, the Surveillance Manager will execute a highly repeatable employee personal trade surveillance practice. Subsequently, the role will expand to incorporate broader Conduct risks, including but not limited to, the market conduct of State Street, its clients and third parties.
Incidents can occur, as a result of policy monitoring, surveillance activities, or as a result of escalations from employees internally or externally through the State Streets Speak-Up Line or other incident reporting processes. Where incidents occur the Surveillance Manager will support reviews to asses for potential indicators of conduct or conflict risk and be responsible for escalating incidents and supporting investigations.
The Surveillance Manager will lead a team intended to operate a highly repeatable surveillance program through the execution of agreed surveillance activities that focus on utilizing enhanced process automation, data analytics and management intelligence to identify, review and mitigate risk.
The role-holder will oversee primary surveillance and alert generation by SMEs whilst seeking to educate and develop more sophisticated and higher quality alert generation from these individuals – this includes a quality assurance mindset to identify risk that were not identified and appropriately escalated.
The ideal candidate should have a broad background in Conduct Risks Compliance with a particular focus on trading, financial markets and the regulatory and policy requirements of employees working in a financial services setting. Knowledge of surveillance and risk identification and mitigation techniques is essential and so is the ability to establish practices to clearly determine if there are corroborating factors that indicate a need to escalate.
Educational Qualification and desired Experience
The ideal candidate should have relevant educational and/or professional experience in the fields of financial markets (e.g. trading, investing) with 9 to 11 years experience in deploying process automation, data analytics and management intelligence in the execution of surveillance. Management experience is essential.
Major Responsibilities
Principal duties and responsibilities include:
Own the delivery of assigned surveillance activities and lead a team of surveillance analysts in the execution of a highly repeatable surveillance program
Identify, engage and support continuous improvement of the surveillance program:-
Ensure that sufficient control, documentation and assurance exists over the surveillance program
Drive consistency in approach through technology, process and procedure enhancements
Support with the development and implementation of best in class surveillance techniques and capabilities
Collaborate, advise and influence surveillance analysts towards the effective execution of required surveillance activities
Engage with and support Audit, Risk Monitoring and Compliance across the firm with various initiatives.
Through the execution of robust quality assurance, identify and execute program improvements. Ensure that the programs procedures, controls, model risk management and provision of management information are accurate and of high quality.
Escalate all opportunities identified for State Street to enhance its policies, procedures, training, controls and overall risk mitigation and compliance oversight program effectiveness.
Apply the principles of LEAN to improve process efficiency and outcomes.
Ensure familiarity with related State Streets policies and industry best practice, regulatory / legal obligations and professional standards.

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