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.
RESPONSIBILITIES Purpose: · Perform orders and trades monitoring to identify and escalate for in any of the following scenarios: potential trading anomalies, indications of market abuse, indications of inappropriate client execution and 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 · Overall leadership for Direct Reports of the Trade Surveillance Monitoring team and matrix reports within Surveillance and Equity Aggregation Team in GBS Kuala Lumpur. 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 · Provide governance on both initial or secondary reviews and/or resolve alerts/cases by following the relevant Surveillance, Monitoring & Conduct Standard Operating Procedure with particular focus on Market Abuse and Inappropriate Client Execution. · Partner with Surveillance, Monitoring & Conduct for advice on technical matters · Implement/roll-out Group Surveillance, Monitoring & Conduct processes/SOPs · Maintain and recommend (for approval by the relevant Risk Committee), processes/SOP to address relevant risks, aligning with relevant regulatory requirements · Support the Process Owner for Surveillance, Monitoring & Conduct owned processes under the Group's Risk Management Framework · Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends 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 · Analyse significant risk events as defined by (ORF) to ensure that all are identified and reported and make risk mitigation recommendations (and/or implement) to relevant stakeholders · 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 People Management & Accountability · Provide leadership, management and coaching to direct and matrix reports to ensure they are highly engaged and performing to their potential. · Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm. · Collaborate with training teams to input to training curriculum to support closing of capability gaps. · Ensure the respective team is adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address compliance risks. · Ensure staff in the respective team have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions. · Monitor team or individual progress and measure delivery to meet performance goals · Plan and manage staffing levels based on workload
Communicate and Collaborate · Support effective and timely communication along with collaboration cutting through functions and business · Regular and diarised catch ups with Head and other management members of Trade Surveillance.
Agility in Strategic Change Management · Manage and protect business as usual (BAU) capability during change programmes, as well as during the execution and delivery of the Remediation initiatives through project phase and into BAU. · Provide subject matter expert advice, guidance, and support to the project managers on managing change · Ensure that there is adequate support for people, processes, tools, frameworks, systems in Surveillance, Monitoring & Conduct GBS team · Review new business requirements and provide solutions where required · Environment. · Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
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Internal Number: 5474312
About Standard Chartered Bank Malaysia Berhad
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