Job Description

Role Responsibilities

Primary responsibilities are to improve and maintain the existing analytics capabilities through parameterization and calibration within the Compliance Surveillance function, with the mandate of Market Abuse, Private Banking suitability monitoring surveillance. In addition, the incumbent will take part in various projects and activities undertaken by Surveillance such as scenario logics assessment, compliance reviews, technology enhancements and projects etc.

Strategy

• Responsible for operating various detective monitoring controls under second line compliance function, which are designed to detect potential instances of market abuse or other forms of market misconduct, through orders, quotes and trades, and Private Banking suitability monitoring.

Business

• Awareness and understanding the various market abuse regulations globally in which the Group operates.
• Understanding the Group\xe2\x80\x99s business strategy as well as Compliance mandate in supporting the business.
• Understanding booking practices and models to implement and refine analytics in the department.

Processes

• Apply analytics to better enhance scenario alerts generation through feedback and collaboration with the various teams, including but not limited to quantitative methods such as statistical, numerical analysis of data, or computational techniques.
• Participate in the scenario logic reviews, enhancements and lead the engagements with stakeholders for implementation. Also includes authoring and reviewing specification documents relating to scenarios.
• Build a deep understanding of the Delta Surveillance, the primary application used by the department.
• Drive technical design and implementation of new scenarios and enhancements within Delta Surveillance in a performant manner.
• Participate in various technology projects and involvements in requirements specifications, prioritization, UAT, regression testing, etc.
• Pro-active identification of risks and concerns, including escalation to all relevant stakeholders.
• Timely mitigation and resolution of risks and issues, establishments of effective controls, in collaboration with all relevant stakeholders.

Risk Management

• Identify key issues of the workstreams assigned and work towards resolving, if not escalating where required.
• Collaborate with other teams to ensure risks are comprehensively identified, assessed and managed.
• 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.
• Comply with and adhere to relevant risk management policies.

Governance

• Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role.

Regulatory & Business Conduct

• Display exemplary conduct and live by the Group\xe2\x80\x99s 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

• Other teams within Compliance Surveillance: Monitoring, Controls, Data Quality and Projects
• Other functions within the wider Compliance function e.g., Advisory, Assurance
• Business / Front Office
• Technology
• Vendors

Other Responsibilities

• Support the delivery of key priorities and initiatives aligned to the Surveillance Compliance scorecard.
• Keeping people advised about important developments that may affect them and how they work.
• Continually raising the bar on standards of performance.
• Taking ownership of issues and be willing to work across organizational boundaries and structures i.e., horizontally and vertically.
• Taking a bigger picture view \xe2\x80\x93 what delivers the best overall benefit for the team or the Bank.
• Identifying ways in which development can be achieved with higher quality and lower effort.

Our Ideal Candidate

• 7+ years of experience in a bank or financial institution on financial market products like FX, FICC and Equities.
• Incumbent must be well versed in data analysis, ideally having dealt with quotes, orders, trades and market data.
• Trade surveillance experience is preferred

Role Specific Technical Competencies

• Knowledge of Q/KDB
• Programming skills for purpose of data extraction, manipulation, semi-automation (e.g., Q / Python).
• Products & systems: knowledge in financial market products, trade booking structures, related systems and end to end trade life cycle.
• Operational risk and governance.
• Written and communication skills.
• Project management
• Time management
• Stakeholder management

About Standard Chartered

We\'re an international bank, nimble enough to act, big enough for impact. For more than 160 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:

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations
• Time-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum
• Flexible working options based around home and office locations, with flexible working patterns
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you\'ve applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

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