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

Key Stakeholders

Other Responsibilities

Skills and Experience

Role Specific Technical Competencies

Competencies

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 :

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.

Recruitment Assessments

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