Team Leader, Communications Surveillance - Kuala Lumpur, Malaysia - Standard Chartered

Standard Chartered
Standard Chartered
Verified Company
Kuala Lumpur, Malaysia

1 week ago

Siti Tan

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Siti Tan

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Description

Job:
Governance, Risk Management & Compliance


Primary Location:
Asia-Malaysia-Bukit Jalil KL


Schedule:
Full-time


Employee Status:
Permanent


Posting Date: 01/Aug/2023, 1:14:29 AM


Unposting Date:
Ongoing


Role Responsibilities


The Communications Surveillance Program is to detect potential market misconduct (such as market manipulation, disclosure of Material Non-Public Information, and disclosure of false or misleading information inducing transactions) through the review of Electronic and Voice Communication alerts of identified in-scope employees.

This role (Compliance Surveillance Analysts) will conduct reviews of surveilled SCB employees to detect such potential violations, escalate to appropriate parties / control partners e.g.

Conduct, Financial Crime and Compliance (CFCC Advisory Compliance), and follow through till case closure.


Processes

  • Lead a team of analysts for the Communications Surveillance team
  • Perform communications surveillance includes system generated alerts review, manual reviews and voice monitoring.
  • Perform initial review of alerts and/or escalate cases by following the relevant Surveillance Procedures to detect potential market misconduct or misselling risks as well as irregular behaviour that may lead to regulatory / compliance issues.
  • Handle escalation on any potential issues from team members, and provide guidance accordingly, e.g. further review \ analysis, follow up on cases where necessary.
  • Ad hoc data retrievals and reviews from source, i.e. Bloomberg Vault, Reuters Messenger Compliance Module, Discovery Accelerator, Skype and Ice Chat, where required.
  • Drive / encourage initiatives aimed at helping improve efficiency and boost quality of existing surveillance processes (automated alerting / manual monitoring) as well as the design and implementation of controls. Actively strive to enhance the current scenarios / systems and challenge status quo through driving improvement / automation initiatives. Manage and protect business as usual capability during change programs / remediation initiatives.
  • Support other stream of work whenever there is a business need.

People & Talent

  • Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with other teams and stakeholders.
  • Inspire team by explaining how their work contributes to the Bank's success
  • Ensure the provision of ongoing training and development of people, and ensure that the staff are competent, suitably skilled and qualified for their roles and ensuring that they have effective supervision in place to mitigate any risks
  • Monitor team or individual progress and measure delivery to meet performance goals
  • Plan and manage staffing levels based on workload
  • Ensure regular and documented management meetings with Direct Reports
  • Support effective and timely communication along with collaboration cutting through functions and business

Risk Management


Responsible for identifying, assessing and / or escalating potential market misconduct and mis-selling risks to the Team Leads / Communications Surveillance SMEs for further review and follow up.


Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group's Values and Code of Conduct.
  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
  • Lead the Compliance Surveillance team in GBS Malaysia to achieve the outcomes set out in the Bank's

Conduct Principles:
Fair Outcomes for Clients; Effective Operation of Financial Markets, Financial Crime Prevention; Creating the Right Environment.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders

  • Support effective and timely communication along with collaboration cutting through functions, businesses, and locations.

Other Responsibilities

  • Embed Here for good and Group's brand and values in the Compliance Team.
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

QUALIFICATIONS

TRAINING, LICENSES, MEMBERSHIPS AND CERTIFICATIONS

  • Bachelor degree and 48 years of work experience in the financial industry, preferably in the market conduct / compliance / communications surveillance space
  • Banking knowledge in terms of customers, products, transactions and operations
  • Experience in the communication surveillance process and the vendor tools, including but not limited to Digital Reasoning, Nexidia, preferred
  • Proficient in MS Office Suite, e.g. Power Query; additional programming capabilities e.g. Python, VBA is advantageous
  • Excellent communicat
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