Specialist, Mar Trade Surveillance

Job ID: 34793

Location: Bukit Jalil KL, MY

Area of interest: Business Support, Management & Efficiency

Job type: Regular Employee

Work style: Office Working

Opening date: 21 Jul 2025

**Job Summary**

**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 Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Group’s 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 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.
- 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 Group’s brand and values in Compliance Surveillance; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

**Skills and Experience**
- Manage Conduct
Manage Risk Core
Manage People
Compliance Policies and Standards
Compliance Advisory
Compliance Review and Assurance
Surveillance (including Screening and Monitoring)
Investigations
Compliance Risk Assessment
Regulatory Liaison
Manage Change- Manage Projects**Qualifications**
- Bachelor’s degree and 4-8 years of work experience in the financial industry, preferably Surveillance / Compliance / Regulatory / Sales, Trading & Customer Relationship
- Banking knowledge in terms of customers, products, transactions and operations
- Data & analysis skills: able to manage data exceptions and analyse trends and out of pattern activities; able to independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action (e.g. case closure or escalation), record and communicate this decision clearly and concisely
- Familiarity with concepts and relevant regulations on Market Abuse, Suitability and Appropriateness
- Working knowledge of MS Office Suite
- Excellent communication in English (articulation and writing)

**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 wit