Trade Surv Manager is leading a team of Surveillance Analysts who are responsible for identifying potential trading anomalies, indications of market abuse and other inappropriate activity for cross product risks, across all WRB and Markets business lines.
Key Responsibilities
- Assisting the Head, MAR Trade Surv in driving the strategy of the Cross Product Surveillance workstream across Markets business line, focussed on OTC and ETD product lines.
- Providing training and conducting assessment for new joiners in the team.
- Providing SME knowledge to senior members of the Strat & Execution team.
- Co-ordinating and supervising BAU Trade Surveillance activities, including the execution of the Trade Surveillance process, and ensuring that relevant department operation instructions are adequately followed.
- Managing alert inventory and allocations in the team, with escalations, when necessary.
- Reviewing Surveillance cases escalated to CFCR Advisory and ensuring they are correctly documented in the Surveillance Case Management System.
- Providing inputs to the calibration process for Trade Surveillance.
- Preparing management information reports and presenting findings and recommendations to senior management.
- Provide leadership, management and coaching to direct reports to ensure they are highly engaged and performing to their potential.
- Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
- Collaborate with training teams to input to training curriculum to support closing of capability gaps.
- Assist the Head MAR Trade Surveillance in ensuring the respective team is adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address compliance risks.
- Ensure staff in the respective team have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions.
- Monitor team or individual progress and measure delivery to meet performance goals.
- Analyse significant risk events as defined by (ORF) to ensure that all are identified and reported and make risk mitigation recommendations (and/or implement) to relevant stakeholders
- Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased
- Regular and diarised catch ups with all key business stakeholders.
- 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.
Skills and Experience
- 5 years of relevant work experience in the financial industry, which includes direct experience within a detective surveillance role.
- Previous leadership experience is not a pre-requisite, however, the candidate should have a strong desire to lead and develop others and be able to articulate this clearly.
- Banking knowledge in terms of customers, products, transactions and operations.
- Surveillance, 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.
- Products & systems: knowledge of financial market products, trade booking structures and related systems.
- Analytical, inquisitive, attentive to details.
- Working knowledge of MS Office Suite.
- Excellent communication in English (articulation and writing); additional language capabilities in particular Mandarin, Cantonese, Hindi Bahasa, Korean considered an asset.
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.
- 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.