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 requires an experienced and strategic People Leader with strong Communications Surveillance experience to oversee day-to-day operations and long-term development of the Group Communications Surveillance program. This role is responsible for managing a team of Communications Surveillance Team Leads and indirectly oversee their respective analyst teams, ensuring the effective monitoring, detection, and escalation of potential violations across electronic communications (e.g., email, chat, voice, etc.). 

Key Responsibilities

Processes
Key duties and responsibilities include (but not limited to):
•    Provide leadership, mentorship, and performance management to multiple Surveillance Team Leads and indirectly oversee a larger group of surveillance analysts
•    Drive consistent application of surveillance process, policies, procedures, across all communication channels and Business Function coverage areas
•    Oversee the quality and timeliness of case investigations, escalations to relevant stakeholders such as CFCR
•    Act as a primary point of escalation for complex or high-risk surveillance alerts and findings
•    Partner with relevant stakeholders (e.g., CFCR, Technology, Data Analytics, Optimization Team, etc.) to enhance surveillance models, lexicons, AI/ML capabilities, alert reviews, other surveillance matters etc.
•    Manage resource allocation, capacity planning, and ensure support of surveillance alert inventory management
•    Represent the Surveillance function in relevant governance forums and stakeholder meetings (where applicable)
•    Lead continuous improvement initiatives, including program updates, control enhancements, and efficiency projects
•    Escalate potential issue to the Head of Communications Surveillance promptly, including operational concern, staffing matters, gaps or any relevant matters that may affect the program
•    Support other stream of work whenever there is a business need

People & Talent
•    Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with other teams and stakeholders.
•    Inspire team by explaining how their work contributes to the Bank’s success 
•    Ensure the provision of ongoing training and development of people, and ensure that the staff are competent, suitably skilled and qualified for their roles and ensuring that they have effective supervision in place to mitigate any risks  
•    Monitor team or individual progress and measure delivery to meet performance goals 
•    Plan and manage staffing levels based on workload
•    Ensure regular and documented management meetings with Direct Reports
•    Support effective and timely communication along with collaboration cutting through functions and business.
Risk Management
•    Responsible for identifying, assessing and / or escalating potential market misconduct and mis-selling risks to CFCR.

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

•    5+ years of experience in communications surveillance (preferably focused on communications surveillance for market abuse) within a broker-dealer, investment bank, financial institution, asset manager, or fintech. 
•    Proven track record of managing a team of communications surveillance professionals / team.
•    Strong experienced in performing complex or high-risk surveillance investigations, escalations, and findings
•    Banking knowledge in terms of customers, products, transactions and operations; Expertise in Corporate & Investment Banking and associated markets (e.g., Financial Markets, Client Coverage, Global Banking, etc.) preferred.
•    Advanced knowledge of surveillance platforms (e.g., Such as Digital Reasoning, Enterprise Conduct, Global Relay, NICE Actimize, etc.) and hands-on experience tuning related scenarios.
•    Recognized expertise in identifying and evidencing market abuse typologies through communications (e.g., collusion, spoofing-related chatter, etc.)
•    Proficient in MS Office Suite; additional programming capabilities e.g. Python, VBA is advantageous
•    Strong analytical skills and comfort interpreting data analytics, false-positive rates, and model performance metrics
•    Exceptional communication and stakeholder management abilities; experience presenting to senior management
•    Ability to multitask, prioritise and meet deadlines. 
•    Excellent communication in English (articulation and writing); additional language capabilities e.g. Mandarin, Cantonese, Bahasa, preferred

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.