Manager, Platform Development, Compliance Surv - 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

    Business

  • Awareness and understanding of various market abuse regulations globally in which the Group operates
  • Understanding the Group's business strategy as well as Compliance mandate in supporting the business
  • Understanding booking practices and models to implement and enhance surveillance in the department

    • Processes

  • Take ownership of issues and work with technology on production issues, root cause analysis and remediation plan
  • Engage in conversations with stakeholders from FM Surveillance, Information Barriers, Sales and Suitability and Communication Surveillance on remediation of issues, new change requests and improvements to platforms like Delta Surveillance, SMARTS, Digital Reasoning, etc.
  • Bring forward requirements from monitoring team to tech, change management and vendor teams to relay the above requirements and overview their implementation, working as the main facilitation focal between the teams.
  • Participate in various technology projects and involvements in requirements specifications, prioritization, UAT, etc.
  • Pro-active identification of risks and concerns, including escalation to all relevant stakeholders
  • Timely mitigation and resolution of risks and issues, establishments of effective controls, in collaboration with all relevant stakeholders.

    • People & Talent

  • To manage the Platform Development team and provide direction and assistance whenever needed by the team

    • Risk Management

  • Identify key issues of the workstreams assigned and work towards resolving, if not escalating where required
  • Collaborate with other teams to ensure risks are comprehensively identified, assessed and managed.
  • Support all control checks approved by Operational Risk Framework (ORF) & be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework
  • Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased.

    • Governance

  • Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role

    • Regulatory & Business Conduct

  • Display exemplary conduct and live by the .
  • 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.

    • Key stakeholders

  • Other teams within Compliance Surveillance: Monitoring, Controls, Data Quality and Projects
  • Other functions within the wider Compliance function eg. Advisory, Assurance
  • Business / Front Office

    • Our Ideal Candidate

  • Collaboration
  • Problem Solving
  • Project Management
  • Manage Change
  • Data and analytical skills