Analyst, Compliance Surveillance MM

26 Applied
Job Description



About Standard Chartered
We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities

Business

  • Perform the initial review and/or resolve alerts/cases aligned (but not restricted) to Manual Monitoring Surveillance product stream by following the relevant Surveillance, Monitoring & Conduct Standard Operating Procedure to detect market abuse risk as well as irregular behaviour that may lead to regulatory / compliance issues. When required, perform the initial review and/or resolve alerts/cases aligned to other work streams.
  • Escalate flagged messages according to the Surveillance escalation procedures.

Processes
  • Perform the monitoring of transactional and communications data for potential trading anomalies, indications of market abuse, indications of inappropriate client executions and other inappropriate activity within its businesses. As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale, and complexity of the Group's business

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'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
  • 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's policies and procedures and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters
  • Embed Here for Good and Group's purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.

Our Ideal Candidate
  • Surveillance skills
  • Knowledge of market abuse regulations within financial markets and ability to identify potential instances of market abuse
  • Data & analysis skills: able to manage data exceptions and analyse trends and out of pattern activities, working knowledge of 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 of financial market products, trade booking structures and related systems
  • Analytical, inquisitive, attentive to details
  • Excellent communication in English (articulation and writing)

Apply now to join the Bank for those with big career ambitions.
To view information on our benefits including our flexible working please visit our . We welcome conversations on flexible working.

Standard Chartered plc is a multinational bank with operations in consumer, corporate and institutional banking, and treasury services. Despite its UK base, it does not conduct retail banking in the UK, and around 90% of its profits come from Asia, Africa, and the Middle East.

Career Advice to Find Better