Analyst, Compliance, FM, Trade Surveillance, Controls
- Kuala Lumpur, Malaysia Kuala Lumpur Kuala Lumpur MY
- Permanent, Full time
- Standard Chartered Global Business Services Sdn Bhd
- 19 Mar 18 2018-03-19
Surveillance, Monitoring & Conduct
- Help the Group meet its commitment of being “Here for Good” by implementing the control standards and guidelines as per the Operational Risk Framework (“ORF”) for both Communication and Trade Surveillance and adhere to the culture of appropriate conduct at the forefront of the Group’s agenda.
- Manage day to day controls matrix with regard to Surveillance and ensure that the necessary control procedures are executed. This includes checking that requisite supervisory checks on surveillance work are duly performed, documented and exceptions flagged and reported as necessary. This would include documentation of checks made in the relevant operation risk systems used by the Bank and ensuring that exceptions are reported to the Director of Controls for Trade Surveillance.
- Maintain constructive and effective relationships with all the stakeholders.
- Maintain independence, deliver timely responses, and timely escalation of risks and issues in data quality where they feel risk management tolerance of the firm are exceeded.
- Understand and execute the strategy in accordance with the Surveillance Controls and ORF in day to day operations.
- 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.
- Establish and maintain the processes defined by Surveillance to ensure ORF and Controls issues and risks are effectively identified, documented and managed.
People and Talent
- Team player, collaborative and supportive.
- Collaborate with the Operational Risk teams and Monitoring teams to identify, assess, manage, monitor, mitigate, document, escalate and resolve the risks that may have impact on Surveillance.
- Understand and implement the procedures set out reference to ORF related to Surveillance.
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.
Qualifications & Skills
- Bachelor’s Degree, preferably in Business or Banking discipline.
- Core skill set in understanding and interpreting operation risk and failure points.
- Core problem-solving and analytical skills.
- Good interpersonal and communication skills to engage and work people from different functions, such as operational risk departments & monitoring teams.
- Good language skills, both spoken and written, especially English.
- Good level of knowledge to usage of Microsoft office suite like Excel, Words and Powerpoint to document, record and present information.
- Fair understandings of market conduct regulations.
- Willingness to take on responsibilities and challenges
- Meticulous and organised
- Delivery of high quality work, in a limited amount of time