Analyst, Compliance Control Room

2 weeks ago

Kuala Lumpur, Malaysia Standard Chartered Full time

**Job***: Governance, Risk Management & Compliance

**Primary Location***: Asia-Malaysia-Bukit Jalil KL

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 05/Jul/2023, 5:49:39 AM

**Unposting Date***: Ongoing

**Role Responsibilities**

The Compliance Control Room owns the Group Personal Account Dealing (“PAD”) Procedures and the Group Outside Business Activities (“OBA”) and other COI Procedures. The purpose of these procedures are to help the Group manage any actual, potential or perceived areas of Conflicts of Interest that may arise in the course of providing financial services to its Clients. These procedures specifically address any potential conflicts of interest that may arise where employees conduct personal account dealing and/or hold Outside Business Interests apart from their job function and duties with the Group.

**RESPONSIBILITIES**

**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
- Help the Group meet its commitment of being “Here for Good” by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group’s agenda
- Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

**Business Delivery and Performance**
- Review/Approve requests in accordance with SCB Group’s policies related to personal account dealing and outside business interests.
- Responsible for annual attestation process for personal account dealing and outside business interests of staff.
- Create various management information reports related to personal account dealing and outside business interests.
- Provide support to remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.
- Responsible for assisting the Core Control Room globally on administrative (not clearance) tasks related to Preliminary Deal Requests.
- Assist with policy, procedure, and strategic initiatives within the Compliance Control Room work relating to Personal Account Dealing and Outside Business Interests.
- Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed, and reported on.

**People Management and Accountability**
- Support the Team Manager in performing second level control checks on the PAD, OBA and others COI processes, approved by the ORF.
- Support the Team Manager in process improvement and control review initiatives for the Compliance Control Room processes.
- Escalate any potential Control Room BAU systems issues to the System Support team
- Support the Core Control Room in performing required User Acceptance Testing and User Verification Testing for all Control Room BAU systems enhancements and defect fixes.

**Communicate and Collaborate**
- Support effective and timely communication along with collaboration cutting through functions and business

***Business**

GSF Compliance Control room

**Processes**

CFCC Control room processes

**People & Talent**
- Good presentation skills, data analysis, analytical skills and data reporting.
- Good communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.
- Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment
- People/Team leading, coaching and as deputy to team manager in service delivery & management.
- Drive performance in compliance service delivery with highest quality of service.
- Process owner to establish, govern & maintain work processes to drive service performance

**Risk Management**
- In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance for compliance control room related matters.
- 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 take

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