Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards in the aspect of data quality management and project management, and a culture of appropriate conduct at the forefront of the Group's agenda
Assist Line Manager to ensure that Financial Markets Trade Surveillance's ("FMTS") project implementation adheres to the Bank's Data Quality Management Framework ("DQMF"). This would include identification and compilation of critical data elements to ensure that they are aligned to the scenarios designed to flag out issues with respect to potential market abuse and other risks that FMTS is charged on monitoring.
Assist Line Manager and in certain sub-areas, lead/ co-lead Financial Markets Trade Surveillance's technological project implementations, in the aspect of providing business requirements and ensuring that they are properly translated into functional and technical implementation.
Manage day to day data quality related issues with regard to Trade Surveillance. This includes identifying data related issues, challenges and opportunities associated with achieving the objectives of implementing effective market abuse surveillance and resolving them.
Maintain constructive and effective relationships with Technology Heads of Compliance and Business.
Maintain independence, deliver timely responses, and timely escalation of risks and issues in data quality and projects where they feel risk management tolerance of the firm are exceeded.
Key Roles and Responsibilities
Support and implement the vision, strategy, direction and leadership for the Financial Markets Compliance Trade Surveillance Data Quality and Projects, consistent with Global Head, Compliance, CIB, CB and PvB ("Global Head") vision and strategy for the Compliance function and in support of the Bank's strategic direction and growth aspirations.
Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
Establish and maintain effective processes (including training, advice and support) to ensure that policies, procedures and standards to address FMTS projects and data related risks are effectively implemented and adhered to.
People and Talent
Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with technology, risk and control partners.
Ensure the provision of ongoing training and development of people, and ensure that team members are competent, suitably skilled and qualified for their roles to mitigate relevant risks.
Employ, engage and retain high quality people, with succession planning for critical roles.
Responsibility to review team structure/capacity plans.
Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.
Regularly and on a timely basis appraise performance as well as proactively manage attrition when needed.
Assess competency and skill of the team on an ongoing basis to ensure alignment of skill set to the risk management demands of the business.
Ensure teams are adequately resourced and capacitised.
In collaboration with relevant stakeholders, support a programme for compliance monitoring, surveillance and assurance for Financial Markets and Wealth Management Product Sales.
Collaborate with the other technology teams and operational risk teams to anticipate horizon risks that may have a significant impact on market abuse monitoring and develop effective plan to mitigate such horizon risks.
Within the Group's overall Data Quality Management Framework and Project Management Framework, establish and maintain appropriate risk based processes for identifying, assessing, managing, monitoring, mitigating and resolving such risks.
Develop and recommend appropriate procedures for implementations.
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 CIB & CB Compliance teams 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.
Chief Data Officer
Financial Markets Technology
Tech Programmes & Solutions PvB and WM
Operational Risk, Functions
Compliance Process and Risk Controls
Group / Regional Internal Audit
Embed Here for good and Group's brand and values in Financial Markets Compliance Trade Surveillance Data Quality and Projects Team
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Qualifications and Skills
Core to Advanced skill set in exception handling on data (6 years experience)
Core to Advanced skill set set on developing or working with trading systems such as Murex, FEDS, OPICS, Bloomberg TOMS etc.
Core knowledge level on financial market products.
Core level of understanding of financial markets operation and trade booking structure with extensive experience in exception handling including and especially at the end-to-end data quality level.
Strong background in project development, implementation, operational risk and governance.
Fair understanding of market conduct regulations.
Ability to engage people from different functions, such as, business, compliance, technology and translate the discussion into trade surveillance requirements.
Ability to keep different streams of work organised and prioritised
Ability to engage people at all level within the organisation
Ability to make certain decisions, willingness to take on responsibilities and challenges
Delivery of high quality work, in a limited amount of time
Motivator and willingness to share knowledge amongst the team
Able to multitask, prioritize, and meet deadlines.
Strong collaboration skills, especially with other operational risk colleagues and technology partners.
Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.