Job Description
Job Role
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 (Compliance Surveillance Analysts) will conduct reviews of surveilled SCB employees to detect such potential violations, escalate to appropriate parties / control partners e.g. Conduct, Financial Crime and Compliance (CFCC Advisory Compliance), and follow through till case closure.
Processes
• Communications Surveillance includes system generated alerts review, manual reviews and voice monitoring.
• 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.
• Escalate any potential issues to the Team Leads / Communications Surveillance SMEs for further review and follow up, where necessary.
• Ad hoc data retrievals and reviews from source, i.e. Bloomberg Vault, Reuters Messenger Compliance Module, Discovery Accelerator, Skype and Ice Chat, where required.
• 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 and 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.
• Lead to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment].
• Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association.
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.
Our Ideal Candidate
• Bachelor's 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 skill (articulation and writing). Additional language capabilities e.g., Hindi / other Asian languages would be advantageous.
• Ability to multitask, prioritise and meet deadlines.
• Analytical, attention to details.
Role Specific Technical Competencies
• Compliance Review and FCC Assurance
• Compliance Policies and Standards
• Compliance Risk Assessment
• Manage Conduct
• Manage Risk
• Surveillance
• Investigations
• Manage Change
• Manage Projects
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 160 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
• Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
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, parental / maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with 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.
Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.
Visit our careers website www.sc.com/careers
Job: Governance, Risk Management & Compliance
Primary Location: Asia-India-Bangalore
Schedule: Full-time
Employee Status: Permanent
Unposting Date: Ongoing
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 (Compliance Surveillance Analysts) will conduct reviews of surveilled SCB employees to detect such potential violations, escalate to appropriate parties / control partners e.g. Conduct, Financial Crime and Compliance (CFCC Advisory Compliance), and follow through till case closure.
Processes
• Communications Surveillance includes system generated alerts review, manual reviews and voice monitoring.
• 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.
• Escalate any potential issues to the Team Leads / Communications Surveillance SMEs for further review and follow up, where necessary.
• Ad hoc data retrievals and reviews from source, i.e. Bloomberg Vault, Reuters Messenger Compliance Module, Discovery Accelerator, Skype and Ice Chat, where required.
• 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 and 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.
• Lead to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment].
• Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association.
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.
Our Ideal Candidate
• Bachelor's 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 skill (articulation and writing). Additional language capabilities e.g., Hindi / other Asian languages would be advantageous.
• Ability to multitask, prioritise and meet deadlines.
• Analytical, attention to details.
Role Specific Technical Competencies
• Compliance Review and FCC Assurance
• Compliance Policies and Standards
• Compliance Risk Assessment
• Manage Conduct
• Manage Risk
• Surveillance
• Investigations
• Manage Change
• Manage Projects
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 160 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
• Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
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, parental / maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with 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.
Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.
Visit our careers website www.sc.com/careers
Job: Governance, Risk Management & Compliance
Primary Location: Asia-India-Bangalore
Schedule: Full-time
Employee Status: Permanent
Unposting Date: Ongoing
💡 Quick Summary
Seeking a career-building opportunity? The Analyst| Communications Surveillance position is now open for candidates interested in the Bank Jobs sector. This role in Bagalur offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.