Analyst, Compliance, Communications Surveillance
Standard Chartered
Bukit Jalil KL, Malaysia, ASEAN & South Asia
4 hari yang lepas

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 Purpose :

  • Review communications involving selected staff, identify and escalate for in any of the following scenarios : potential trading anomalies, indications of market abuse, other inappropriate activity within its businesses.
  • Driven by guidance notes, internal policies and procedures, as well as potential. 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

    Group Standard Compliance Performance

  • 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.
  • Business Delivery and Performance

  • Perform the initial review and / or resolve alerts / cases by following the relevant Surveillance, Monitoring & Conduct Standard Operating Procedure to detect potential internal policy breaches on End User Security, Client Complaints, Personal Account Dealing, as well as irregular behavior that may lead to regulatory / compliance issues.
  • Escalate flagged messages to the Communications Surveillance escalation team for further review and follow up.

    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
  • Communicate and Collaborate

  • Support effective and timely communication along with collaboration cutting through functions and business
  • Our Ideal Candidate

  • Surveillance skills
  • Analysis skills : able to analyze data trends and out of pattern activities, working knowledge of Internet and 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.

  • Banking : knowledge in terms of customers, products and transactions
  • Banking operations experience and service oriented attitude
  • Excellent communication in English (articulation and writing)
  • Languages i.e. those required for role (English) and additional language capabilities (Korean, Malay, Mandarin, Cantonese. etc)
  • Training, licenses, memberships, and certifications

  • Bank training
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