APAC Communication Surveillance, Regulatory Compliance - AVP

In Scope of Position based Promotions (INTERNAL only)

Job Title: APAC Communication Surveillance, Regulatory Compliance - AVP

Location: Bangalore, India

Corporate Title: AVP

Role Description

• In the APAC region, Surveillance team consists of teams of analysts and compliance officers located in Hong Kong, Singapore, Manila, Tokyo, Bangalore and Mumbai. APAC Surveillance program coverage includes Listed Derivatives, Fixed Income and FX products and Communication Surveillance.
• The Communication Surveillance Team Lead oversees the monitoring, analysis, and reporting of employee communications to ensure compliance with regulatory requirements, internal policies, and risk-management standards. This role is responsible for supervising a team of surveillance analysts, improving detection frameworks, ensuring timely escalation of risks, and partnering with Compliance, Legal, HR, and Technology teams to maintain a robust communication-surveillance program.
• The role will also involve participating in Surveillance projects, including contributing to enhancement of existing surveillance scenarios, new products, financial exchanges and jurisdictions, as well as other enhancements to the effectiveness or efficiency of surveillance.

What we’ll offer you

As part of our flexible scheme, here are just some of the benefits that you’ll enjoy

• Best in class leave policy
• Gender neutral parental leaves
• 100% reimbursement under childcare assistance benefit (gender neutral)
• Sponsorship for Industry relevant certifications and education
• Employee Assistance Program for you and your family members
• Comprehensive Hospitalization Insurance for you and your dependents
• Accident and Term life Insurance
• Complementary Health screening for 35 yrs. and above

Your key responsibilities

Team Leadership & Stakeholder Management

• Lead, mentor, and supervise a team of communication surveillance analysts across Bangalore and Mumbai.
• Allocate daily tasks, manage queues, ensure timely review and escalate alerts appropriately.
• Conduct performance evaluations and develop training plans to enhance analytical capabilities of communication-surveillance analysts.
• Prepare regular reports and dashboards detailing trends, incident types, KPIs, and emerging risks.
• Present findings to senior management, Compliance leadership, and Risk Committees.
• Collaborate closely with HR and Legal on sensitive investigations, including disciplinary actions.

Surveillance Review & Escalation

• Oversee monitoring of electronic communications (e.g., email, chat, voice, messaging platforms, social media, collaboration tools).
• Ensure analysts follow KOD for reviewing alerts, identifying misconduct, and escalating respectively.
• Make decisions on complex or high-risk cases, including misconduct, insider trading, fraud, harassment, data leakage, and any DB policy breaches.

Process & Technology Enhancement

• Ensure communication-monitoring processes align with relevant regulations and company policies.
• Maintain documentation, audit trails, and metrics to support audits - Regulatory and internal investigations.
• Partner with Technology and Compliance to refine lexicons, rules, AI models, and surveillance workflows.
• Identify gaps and recommend enhancements to surveillance coverage and detection strategies.
• Support UAT, system enhancements, Lexicon Refinements, Surveillance system Administrations and implementation of new monitoring tools.

Your skills and experience

• Bachelor’s degree in Compliance, Business, Cybersecurity, Data Analytics, or related field (master’s preferred).
• 10 - 15 years of experience in Communication Surveillance, Compliance, Risk Management, or related dimensions.
• Strong knowledge of regulatory requirements governing electronic communications.
• Familiarity with common Surveillance tools (e.g., Attivio, Digital Reasoning, NICE, Smarsh, Global Relay, etc).
• Excellent analytical, problem-solving, and investigation skills.
• Strong leadership experience with the ability to manage and motivate team members.
• Exceptional communication, report writing, and stakeholder-management abilities.
• Developing methodologies to identify, monitor and test areas of compliance risk whilst building and fostering close relationships with stakeholders.
• Working with Compliance Information Technology in the preparation and User Acceptance Testing of new models, amendments to existing features and functionalities to ensure effectiveness and coverage of alerts.
• Experience in financial services surveillance or regulated industries.
• Knowledge of AI/ML-based surveillance tools or data leakage prevention systems.
• Preferred to have Certifications such as CAMS, CRCM, ACFE, CISSP, CIPP, or ICA Compliance certifications.
• Experience in handling sensitive investigations and complex escalations.

How we’ll support you

• Training and development to help you excel in your career
• Coaching and support from experts in your team
• A culture of continuous learning to aid progression
• A range of flexible benefits that you can tailor to suit your needs

About us and our teams

Please visit our company website for further information:

https://www.db.com/company/company.html

We strive for a culture in which we are empowered to excel together every day. This includes acting responsibly, thinking commercially, taking initiative and working collaboratively.