Specialist, MAR Trade Surveillance (FXRC)

Processes•  Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of potential improper employee conduct indicative of risk sub types covered by Compliance Surveillance, where applicable 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 dive into cases where warranted or requested by management.•  Maintain good working relationships with CFCR Advisory, as well as Front and Back Office Operations.•  Proactively support and challenge the Groups businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Groups clients.•  Drive / encourage initiatives aimed at helping improve efficiency and boost quality of existing Compliance Surveillance processes as well as the design and implementation of controls. Actively strive to enhance the 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 stream of work whenever there is a business need.

Risk Management

•  Responsible for identifying, assessing and / or escalating potential incidences of potential 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. 

Regulatory & Business Conduct 

•  Display exemplary conduct and live by the Groups 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 Groups brand and values in Compliance Surveillance; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Information :

• Company : Standard Chartered
• Position : Specialist, MAR Trade Surveillance (FXRC)
• Location : Kuala Lumpur, Kuala Lumpur
• Country : MY