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Analyst, Compliance, FM, Trade Surveillance, Controls

Keywords / Skills : Financial market

4 - 9 years
Posted: 2017-10-12

Banking/ Financial Services
Banking, Insurance & Financial Services
Compliance & Control
Other BFSI
Posted On
12th Oct 2017
Job Description
Help the Group meet its commitment of being "Here for Good" by implementing the control standards and guidelines as per the Operational Risk Framework ("ORF") for both Communication and Trade Surveillance and adhere to the culture of appropriate conduct at the forefront of the Group’s agenda.

Manage day to day controls matrix with regard to Surveillance and ensure that the necessary control procedures are executed. This includes checking that requisite supervisory checks on surveillance work are duly performed, documented and exceptions flagged and reported as necessary. This would include documentation of checks made in the relevant operation risk systems used by the Bank and ensuring that exceptions are reported to the Director of Controls for Trade Surveillance.

Maintain constructive and effective relationships with all the stakeholders.

Maintain independence, deliver timely responses, and timely escalation of risks and issues in data quality where they feel risk management tolerance of the firm are exceeded.

  • Understand and execute the strategy in accordance with the Surveillance Controls and ORF in day to day operations. 
  • Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct. 

  • Establish and maintain the processes defined by Surveillance to ensure ORF and Controls issues and risks are effectively identified, documented and managed. 
  • People and Talent 
  • Team player, collaborative and supportive. 

Risk Management
  • Collaborate with the Operational Risk teams and Monitoring teams to identify, assess, manage, monitor, mitigate, document, escalate and resolve the risks that may have impact on Surveillance. 
  • Governance 
  • Understand and implement the procedures set out reference to ORF related to Surveillance. 

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. 

Key Stakeholders
  • Trade Surveillance Monitoring Team 
  • Trade Surveillance Analytics Team 
  • Trade Surveillance Data Quality & Projects Team 
  • Communication Surveillance Department 
Process Owners
  • Operational Risk Teams from L&C and Front Office 

Other Responsibilities
  • Embed Here for Good and Group’s brand and values in Financial Markets Compliance Surveillance Controls 
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures. 

Qualifications & Skills

  • Bachelor’s Degree, preferably in Business or Banking discipline. 
  • Core skill set in understanding and interpreting operation risk and failure points. 
  • Core problem-solving and analytical skills. 
  • Good interpersonal and communication skills to engage and work people from different functions, such as operational risk departments & monitoring teams. 
  • Good language skills, both spoken and written, especially English. 
  • Good level of knowledge to usage of Microsoft office suite like Excel, Words and Powerpoint to document, record and present information. 
  • Fair understandings of market conduct regulations. 
Personal Attributes:
  • Willingness to take on responsibilities and challenges 
  • Meticulous and organised 
  • Delivery of high quality work, in a limited amount of time 
  • Team player and willingness to learn and share amongst the team 
  • Able to multitask, prioritize, and meet deadlines. 
  • Strong collaboration skills. 

QUALIFICATIONS - training, licenses, memberships and certifications

This Job Description should be read in conjunction with the relevant terms of reference, the Group’s Governance Manual which sets out responsibilities for establishing, maintaining and implementing the Group’s high level systems and controls, policies and procedures, and the jobholder’s contract of employment. The jobholder acknowledges that he / she has understood and will abide by the responsibilities set out in the Governance Manual as well as ensure compliance with Group Code of Conduct, and the local regulators Statements of Principle and Code of Practice for Regulated roles

Standard Chartered is committed to diversity and inclusion. By providing equal opportunities we foster a work environment which embraces diversity and gets the best out of the broadest spectrum of people to sustain business performance and competitive advantage. We build an inclusive culture by demonstrating respect for each other’s unique strengths and perspectives to enable every employee to develop a sense of belonging, and have the opportunity to maximize their potential.

The signed job description should be part of the job library and be used for P3 objective purposes, development needs, and hiring requirements as needed.

** Please include Local / Regional/ Country Regulatory role requirement details as necessary.

Key Skill(s)

About Company

Standard Chartered Global Business Services Sdn Bhd

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