Sr Spl'st, MAR Trade Surv.

Overview

Job Summary Processes : Perform the initial review and / or resolve Compliance Surveillance alerts / cases to detect and escalate potential incidences of improper employee conduct indicative of risk sub types covered by Compliance Surveillance, 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 dives into cases where warranted or requested by management. Maintain good working relationships with CFCR Advisory, Front and Back Office Operations. Proactively support and challenge the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcomes for the Group’s clients. Drive initiatives to improve efficiency and quality of existing Compliance Surveillance processes as well as the design and implementation of controls. Actively strive to enhance 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 streams of work as needed by the business. Key Responsibilities Risk Management Responsible for identifying, assessing and escalating potential incidences of improper employee conduct indicative of risk sub types covered by Compliance Surveillance, including market misconduct, sales practices and product suitability or disclosure of MNPI, as well as other irregular behaviour that may lead to regulatory / compliance issues. 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. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Key Stakeholders Support effective and timely communication along with collaboration cutting through functions and business. Other Responsibilities Embed Here for good and Group’s brand and values in Compliance Surveillance; perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures. Skills and Experience Bachelor’s degree and 5 years of work experience in the financial industry, preferably Surveillance / Compliance / Regulatory / Sales, Trading & Customer Relationship. Banking knowledge in terms of customers, products, transactions and operations. Data & analysis skills : able to manage data exceptions and analyse trends and out-of-pattern activities; able to 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. Familiarity with concepts and relevant regulations on Market Abuse, Suitability and Appropriateness. Working knowledge of MS Office Suite. Excellent communication in English (articulation and writing). Role Specific Technical Competencies Manage Conduct Manage Risk Core Manage People Compliance Policies and Standards Compliance Advisory Compliance Review and Assurance Surveillance (including Screening and Monitoring) Investigations Compliance Risk Assessment Regulatory Liaison Manage Change Manage Projects Competencies Action Oriented Collaborates Customer Focus Gives Clarity & Guidance Manages Ambiguity Develops Talent Drives Vision & Purpose Nimble Learning Decision Quality Courage Instills Trust Strategic Mindset About Standard Chartered We\'re an international bank, nimble enough to act, big enough for impact. For more than 170 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 Are better together,

we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term What we offer 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 leave, parental / maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along 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 at