- Permanent, Full time
- Standard Chartered Bank Singapore
- 01 Oct 17
Associate, Compliance, Clients Segment Trade Surveillance
- Location: Singapore
- Salary: Negotiable
- Job Type: Full time
Please view Job Description for details.Reporting to the Head, Trade Surveillance, Client Segments, you will be responsible for implementing and conducting suitability surveillance across the various Business Regions and Segments.
Key Roles and Responsibilities
Sales and Suitability review
1. Provide support to the Risk Owner under the Group's Risk Management Framework for the Trade Surveillance processes where Compliance is the second-line Risk Owner.
2. Perform quality assurance on the first-line monitoring process.
3. Perform technical/trend analysis to identify systemic and thematic risks across the various regions.
4. Provide guidance and training to the first-line surveillance teams.
5. Review exceptions and preparing management reports to Countries' Head of Compliance and other key stakeholders.
6. Recommend process improvements and best practices.
7. Maintaining Sales and Suitability Surveillance Department Operating Instructions (DOI).
8. Keep up-to-date on region specific regulation impacting investment sales suitability.
Qualifications and Skills
1. A sound understanding of suitability considerations and the ability to demonstrate them during alerts reviews or alert investigations.
2. Able to perform data mining and technical/trend analysis.
3. Able to work with different stakeholders to investigate alerts and recommend improvements.
4. Able to work independently with minimal supervision.
5. Good communication and writing skills.
6. Strong Analytical skills.
How To Apply
You can search and view current opportunities across our organisation and apply immediately by visiting www.standardchartered.com and selecting Careers. To help speed up your application, please note the following:
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- We will ask you about your education, career history and skills and experience, it may be helpful to have this information at hand when completing your application
It usually takes 15 - 20 minutes to complete the application form; you can save your application at any time and return to complete it at your convenience.
Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.