Analyst, Compliance Surveillance, Equities
Kuala Lumpur, Malaysia
Job Description
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Job : Compliance
Primary Location : Asia-Malaysia-Bukit Jalil KL
Schedule : Full-time
Employee Status : Permanent
Posting Date : 23/Mar/2023, 8:07:47 AM
Unposting Date : Ongoing
Role Responsibilities Strategy
- Take personal responsibility for understanding the risk and compliance requirements of my 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\xe2\x80\x99s policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters
- Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee 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\xe2\x80\x99s businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Group\xe2\x80\x99s 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.
Risk Management
- 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.
Regulatory & Business Conduct
- Display exemplary conduct and live by the Group\xe2\x80\x99s 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.
- Support effective and timely communication along with collaboration cutting through functions and business.
- Embed Here for good and Group\xe2\x80\x99s brand and values in Compliance Surveillance; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
- Surveillance skills
- Analysis skills: able to analyse data 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) \xe2\x80\x93 other languages a bonus
- Bank training
- Manage Conduct Core
- Manage Risk Core
- Manage People Not Applicable
- Compliance Policies and Standards Core
- Compliance Advisory Entry
- Compliance Review and Assurance Entry
- Surveillance (including Screening and Monitoring) Advanced
- Investigations Core
- Compliance Risk Assessment Entry
- Regulatory Liaison Not Applicable
- Manage Change Entry
- Manage Projects Entry
About Standard Chartered We\'re an international bank, nimble enough to act, big enough for impact. For more than 160 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 thing and 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
- Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
- 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-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with with minimum global standards for annual and public holiday, which is combined to 30 days minimum
- Flexible working options based around home and office locations, with flexible working patterns
- Proactive wellbeing support through 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 culture to 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.
Visit our careers website www.sc.com/careers
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Job Detail
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Job IdJD920971
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IndustryNot mentioned
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Total Positions1
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Job Type:Full Time
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Salary:Not mentioned
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Employment StatusPermanent
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Job LocationKuala Lumpur, Malaysia
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EducationNot mentioned