Associate - Surveillance Project Sme (Malaysia, India)

Job ID: 20768

Location: Bukit Jalil KL, MY

Area of interest: Governance, Risk Management & Compliance

Job type: Regular Employee

Work style: Office Working

Opening date: 3 Apr 2025

**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.**Processes**
- Collaborate with project teams to implement and configure the new surveillance system.
- 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

**Key Responsibilities**

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

**Qualifications**
- 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
- An