Sr Spl'st, MAR Trade Surv.

Standard Chartered; Kuala Lumpur; On-site; MYR 60,000 - 90,000; Full time

Job summary

A leading international bank is seeking a Senior Specialist in Compliance Surveillance. This role involves identifying trading anomalies and ensuring adherence to compliance regulations. Candidates with a bachelor's degree and relevant experience in the financial sector are encouraged to apply, as the bank fosters an inclusive environment and encourages professional growth.

Benefits

Core bank funding for retirement savings

Flexible working options

Time-off, including annual leave and sabbatical

Proactive wellbeing support

Continuous learning culture

Qualifications

• 4-8 years of work experience in the financial industry.
• Experience in Compliance/Regulatory/Trading.
• Strong data analysis and communication skills.

Responsibilities

• Perform Compliance Surveillance to detect potential misconduct.
• Escalate issues according to models.
• Drive process improvements and automation initiatives.

Skills

Manage Conduct

Compliance Policies and Standards

Investigations

Compliance Risk Assessment

Compliance Advisory

Education

Bachelor’s degree

Tools

MS Office Suite

Job description

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Area of interest: Governance, Risk Management & Compliance

Senior Specialist in the WRB Surveillance team is primarily responsible for identifying potential trading anomalies and other inappropriate activity as set out below.

Processes
• Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee/client 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.

• Responsible for identifying, assessing and / or escalating potential incidences of potential improper employee/client 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.

Key Responsibilities

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.

Key Stakeholders

• Support effective and timely communication along with collaboration cutting through functions and business.

Other Responsibilities

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

Skills and Experience

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

Qualifications

• Bachelor’s degree and 4-8 years of work experience in the financial industry, preferably Surveillance / Compliance / Regulatory / Trading / Broking / Sales & Customer Relationship.
• Banking & Product knowledge in terms of customers, financial instruments (including equities), 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 (e.g. 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).

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thingand are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle,continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together,we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter,we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance,with flexible and voluntary benefits available in some locations.
• Time-offincluding annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible workingoptions based around home and office locations, with flexible working patterns.
• Proactive wellbeing supportthrough Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills,global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning cultureto support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation,one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Recruitment Assessments

Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.