Specialist, Trade Surveillance - Compliance
About Standard Chartered
We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities
- Perform the initial review and/or resolve alerts/cases by following the relevant Surveillance, Monitoring & Conduct Standard Operating Procedure to detect potential internal policy breaches on market abuse and inappropriate client execution, as well as irregular behaviour that may lead to regulatory / compliance issues.
- Escalate flagged messages according to the Surveillance escalation procedures.
- Support any ad hoc data retrievals and reviews from source, i.e. EBS NEX, Reuters Matching, etc.
- Review communications involving selected staff, identify, and escalate for in any of the following scenarios: potential trading anomalies, indications of market abuse, indications of inappropriate client executions and other inappropriate activity within its businesses. Driven by guidance notes, internal policies, and procedures, as well as potential. 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
Our Ideal Candidate
- 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.
- Surveillance skills
- Data & analysis skills: able to manage data exceptions and analyse trends and out of pattern activities, working knowledge of Internet and MS Office Suite & independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action (e.g. case closure or escalation), and record and communicate this decision clearly and concisely.
- Products & systems: knowledge in financial market products, trade booking structures and related systems
- Banking: knowledge in terms of customers, products, and transactions
- Banking operations experience and an inquisitive & service-oriented attitude
- Excellent communication in English (articulation and writing)
- Bank training
- Min. Bachelor's degree
Apply now to join the Bank for those with big career ambitions.