Analyst, Financial Markets, Trade Surveillance

  • TBA
  • Kuala Lumpur, Federal Territory, Malaysia
  • CDI, Plein-temps
  • Standard Chartered Global Business Services Sdn Bhd
  • 08 déc. 17 2017-12-08

Analyst, Financial Markets, Trade Surveillance

  • Help the Group meet its commitment of being “Here for Good” by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group’s agenda.
  • As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business.
  • 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.
  • Evaluate the effectiveness of the Group’s compliance efforts.
  • Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subjected to.
  • Meeting key performance indicators and agreed service level on alert analysis and investigation.
  • Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Head, Compliance, Financial Markets, Trade Surveillance 
  • Help the Group meet its commitment of being “Here for Good” by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group’s agenda.
  • As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business.
  • 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.
  • Evaluate the effectiveness of the Group’s compliance efforts.
  • Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subjected to.
  • Meeting key performance indicators and agreed service level on alert analysis and investigation.
  • Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Head, Compliance, Financial Markets, Trade Surveillance
  • Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.

Strategy

  • Support and implement the vision, strategy, direction and team leadership for Compliance, Financial Markets, Trade Surveillance, GBS team, consistent with Global Head, Compliance, Business and Functions Adv (“Global Head”) vision and strategy for the Compliance function and in support of the Bank’s strategic direction and growth aspirations.
  • 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.

Business

  • Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality regulatory compliance advice and guidance to enable the business and functions to meet/ achieve their strategic and tactical objectives.
  • Perform monitoring, analysis and investigation in relation to market abuse and insider trading related behaviours on orders and trades done in various countries reference the relevant market abuse related regulation, as designated by Head, Compliance, Financial Markets Trade Surveillance or line management.
  • Provide robust challenge to management and all relevant business stakeholders where activities are outside risk tolerance / appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance / appetite.
  • Work closely with the business to provide support on the transition to pro-active and pre-emptive compliance and conduct risk mitigation.
  • Regular and diarised catch ups with all key stakeholders.

 

Processes

  • Adhere and follow processes to ensure that work performed is up to standard and service level agreed is reached.
  • Provide support and challenge to Trade Surveillance’s management to ensure that they establish and monitor appropriate processes for compliance with compliance policies, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct).

People and Talent

  • Ensure appropriate culture and values. Work in collaboration with risk and control partners.
  • Proactively get trained with knowledge on market abuse monitoring and analysis.
  • Propose, set and meet objectives with manager.

 

Risk Management

  • In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance.
  • Ensure effective management of compliance matters, and in collaboration with the rest of the Compliance team, effectively manage regulatory issues that have a significant impact on the Bank.
  • In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Bank and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased. Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform.
  • Provide reports to relevant risk and control committees and management group on key compliance risks and issues.
  • Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed and reported on.

 

Governance

  • Within the Group's overall Risk Management Framework, adhere to appropriate risk based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across SCB.
  • Adhere to appropriate compliance policies and procedures.

 

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.
  • Achieve 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.