Specialist, Macro Surveillance - Kuala Lumpur, Malaysia - Standard Chartered Bank

    Standard Chartered Bank
    Standard Chartered Bank Kuala Lumpur, Malaysia

    2 weeks ago

    Standard Chartered Bank background
    Full time
    Description

    Role Responsibilities

    Processes

  • • Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee conduct indicative of risk sub types covered by Compliance Surveillance, where applicable including market misconduct, sales practices and product suitability or disclosure of Material Non-Public Information (MNPI), as well as other irregular behaviour that may lead to regulatory / compliance issues.

    • Escalate potential issues according to Compliance Surveillance AAA model.

    • Perform ad hoc investigations or deep dive into cases where warranted or requested by management.

    • Maintain good working relationships with CFCC Advisory, as well as Front and Back Office Operations.

    • Proactively support and challenge the Group's businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Group's clients.

    • Drive / encourage initiatives aimed at helping improve efficiency and boost quality of existing Compliance Surveillance processes 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.

    • Risk Management

  • • Responsible for identifying, assessing and / or escalating potential incidences of potential improper employee conduct indicative of risk sub types covered by Compliance Surveillance, including market misconduct, sales practices and product suitability or disclosure of Material Non-Public Information (MNPI), as well as other irregular behaviour that may lead to regulatory / compliance issues.

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

    • Qualifications

    Training, licenses, memberships and certifications

  • ·Bachelor's degree and 4-8 years of work experience in the financial industry, preferably Surveillance / Compliance / Regulatory / Sales, Trading & Customer Relationship
  • ·Banking knowledge in terms of customers, products, transactions and operations
  • ·Data & analysis skills: able to manage data exceptions and analyse trends and out of pattern activities; able to independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action ( case closure or escalation), record and communicate this decision clearly and concisely
  • ·Familiarity with concepts and relevant regulations on Market Abuse, Suitability and Appropriateness
  • ·Working knowledge of MS Office Suite
  • ·Excellent communication in English (articulation and writing); additional language capabilities in particular Mandarin, Cantonese, Bahasa, Korean considered an asset

    • Our Ideal Candidate

  • Manage Conduct
  • Manage RiskCore
  • Manage People
  • Compliance Policies and Standards
  • Compliance Advisory
  • Compliance Review and Assurance
  • Surveillance (including Screening and Monitoring)
  • Investigations
  • Compliance Risk Assessment
  • Regulatory Liaison
  • Manage Change
  • Manage Projects