The Function reviews communications involving selected staff, identify, and escalate for in any of the following scenarios: potential trading anomalies, indications of market abuse, other inappropriate activity within its businesses. Driven by guidance notes, internal policies, and procedures, as well as potential. As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale, and complexity of the Group's business
Group Standard Compliance Performance
Take personal responsibility for understanding the risk and compliance requirements of the role. Understand and comply with, in letter and spirit, all applicable laws, and regulations, including those governing anti-money laundering, terrorist financing, and sanctions; the Group's policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters
Embed 'Here for Good' and Group's purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust, and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm
Business Delivery and Performance
Support manage and maintain the data quality standards & issues as per Data Quality Management Framework (DQMF) for 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. This would include identification of data quality issues in production, analyse the root cause, co-ordinating with upstream systems ITO, L&C ITO, and process owner to fix the data issues.
Support all control checks approved by Operational Risk Framework (ORF) & be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework
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 cease
Communicate and Collaborate
Support effective and timely communication along with collaboration cutting through functions and business
Data & Analysis skills: able to manage data exceptions and analyse trends and out of pattern activities, working knowledge of Internet and MS Office Suite & independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action (e.g. case closure or escalation), and record and communicate this decision clearly and concisely.
Products & Systems: financial market products, trade booking structures and related systems
Banking: knowledge in terms of customers, products, and transactions
Banking operations experience and an inquisitive & service oriented attitude
Excellent communication in English (articulation and writing)