Sr. Spl'st, Comms Surv. (Bangalore, IN)

Standard Chartered

Experience: 4+ yrs
Location: Bangalore, Karnataka, India
Job type: Full-time

Required skills

Digital Reasoning
Nexidia
MS Office
Python
VBA

About the role

Job Summary

The Communications Surveillance Program is to detect potential market misconduct (such as market manipulation, disclosure of Material Non-Public Information, and disclosure of false or misleading information inducing transactions) through the review of Electronic and Voice Communication alerts of identified in-scope employees. This role (Surveillance Project SME) will involve in project implementation, enhancement, and fine-tuning of the new system to align with communication surveillance requirement.

Key Responsibilities

Processes
• Collaborate closely with working group to ensure new implemented system are continuously enhanced and updated.
• Act as the primary expert on communication surveillance, such as compliance surveillance workflows, and all core functionalities.
• Regular progress reviews and ensure alignment with business objectives.
• Oversee & contribute to the implementation, testing, and configuration of communication surveillance systems.
• Work with stakeholders to ensure the system is tailored to meet compliance (data roles, security, access etc.) and all other operational needs.
• Ensure system integration with existing technologies (channels in both eComm & Voice) and infrastructure (upstream system etc.)
• Validate system performance and functionality through user acceptance testing and feedback.
• Serve as a liaison between technical teams, business units, and external vendors.
• Work with stakeholders (Data Team) for improving system effectiveness in generating alert, this includes review and manage of lexicons, machine learning exercise, and alert scoring.
• Perform initial review of alerts and/or escalate cases by following the relevant Surveillance Procedures to detect potential market misconduct or mis-selling risks as well as irregular behaviour that may lead to regulatory / compliance issues.
• Handle escalation on any potential issues from team members, and provide guidance accordingly, e.g. further review \ analysis, follow up on cases where necessary.
• Drive / encourage initiatives aimed at helping improve efficiency and boost quality of existing surveillance processes (automated alerting / manual monitoring) 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 market misconduct and mis-selling risks to the Team Leads / Communications Surveillance SMEs for further review and follow up.

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.
• Lead the Compliance Surveillance team in GBS Malaysia to achieve the outcomes set out in the Bank’s Conduct Principles: Fair Outcomes for Clients; Effective Operation of Financial Markets, Financial Crime Prevention; Creating the Right Environment.
• 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, businesses, and locations.

Other Responsibilities
• Embed Here for good and Group’s brand and values in the Compliance Team.
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Skills and Experience

• Bachelor degree and 4-8 years of work experience in the financial industry, preferably in the market conduct / compliance / communications surveillance space
• Banking knowledge in terms of customers, products, transactions and operations
• Experience in the communication surveillance process and the vendor tools, including but not limited to Digital Reasoning, Nexidia, preferred
• Proficient in MS Office Suite, e.g. Power Query; additional programming capabilities e.g. Python, VBA is advantageous
• Excellent communication in English (articulation and writing), Mandarin, Cantonese. Additional language capabilities e.g., Bahasa, Korean, Hindi advantageous
• Analytical, attention to details.
• Ability to multitask, prioritise and meet deadlines.

Role Specific Technical Competencies

• Manage Conduct
• Manage Risk
• Compliance Policies and Standards
• Compliance Review and FCC Assurance
• Surveillance
• Investigations
• Compliance Risk Assessment
• Manage Change
• Manage Projects

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 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
Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

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 leave, parental/maternity (20 weeks), sabbatical (12 months 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.

About Standard Chartered

International group providing corporate, retail, and investment banking services.

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