Trade Surveillance Analyst
- Kuala Lumpur, Malaysia
- Permanent, Full time
- Standard Chartered Global Business Services Sdn Bhd
- 21 Nov 17 2017-11-21
We are hiring Trade Surveillance Analyst to monitor transactional activities that have been executed through Financial Markets and Wealth Management Products & Sales order, quote and trade processing system
• CIB Surveillance employs a range of automated surveillance systems and manual procedures to monitor
o transactional activities that have been executed through the Financial Markets (“FM”) and Wealth Management Products & Sales (“WMPS”) order, quote and trade processing systems,
o e-Communications through chat messaging / email channels, and,
o recorded phone lines
to detect and escalate potential incidences of improper trading anomalies indicative of market abuse (such as insider trading and market manipulation) and inappropriate client executions.
• Driven by applicable regulatory requirements, guidance notes, internal policies and procedures, CIB Surveillance, as an independent second line risk control function, executes 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.
Group Standard Compliance Performance
• Take personal responsibility for understanding the risk and compliance requirements of the role.
• Understand and comply with, in letter and spirit, all applicable laws, and regulations, including those governing anti-money laundering, terrorist financing, and sanctions; the Group’s policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters
• Embed ‘Here for Good’ and Group’s purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm
Business Delivery and Performance
• Manage day to day controls matrix with regard to Surveillance and ensure that the necessary control procedures are executed. This includes:
o Checking that requisite supervisory checks on surveillance work are duly performed, documented and exceptions flagged and reported as necessary;
o Documenting the results of the checks done in the relevant operation risk platforms used in the Bank; and,
o Ensuring that exceptions are reported to the Director of Controls for Trade Surveillance for any required escalations and/or risk assessments.
• 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.
Communicate and Collaborate
• Support effective and timely communication along with collaboration cutting through functions and business.
• Trade Surveillance Monitoring Team
• Trade Surveillance Analytics Team
• Trade Surveillance Data Quality & Projects Team
• Communication Surveillance Team
• Process Owners
• Group, Compliance, Business and Country Operational Risk Teams
• Excellent written and verbal communication skills.
• Proficiency in MS Office Word, Excel and PowerPoint.
• Strong organisational, planning and time-management skills.
• Able to deliver high quality work within tight timelines.
• Personable and able to engage with people at all levels within the organization.
• Able to work harmoniously and collaboratively with a diverse workforce from various Regional hubs and functions such as Operational Risk, Internal Audit, Technology, etc.
• Strong work ethics and high professional integrity.
• Effective team player and able to work independently when required.
• Meticulous, systematic and logical.
• Adaptable to changing priorities.
• Have a global mindset and a can-do attitude.
• Able to handle sensitive, private and confidential material responsibly.
• Good interpersonal, problem solving and analytical skills.
• Self-motivated and is willing to take on new responsibilities and challenges.
• Trustworthy and patient.
• Operational risk, surveillance, compliance, audit, treasury and/or programme management experiences in the banking and financial industry.
• Knowledge of the Bank’s various FM Products (e.g. Fixed Income, Currencies, Commodities, Equities, and Derivatives, etc) and the respective Businesses’ operational processes (e.g. booking models, trade processing systems, infrastructure, etc).
• Understand, interested and appreciate the market conduct environment.
• Administrative or assistant experiences.
• Programme management methodologies and skills.