The Job Holder s responsibilities extend to review all alerts generated through surveillance activities. Also, to handle the activities which are non-operational in nature like handling Audit, Regulatory Inspection, Vendor Governance etc. as assigned by Line Manager.
Review of Alerts and Maintenance of Surveillance Application
Take appropriate action to review the alerts
Conduct independent research and analyse data on transaction surveillance alerts within the stipulated timeline using various internal systems and databases.
Utilize pertinent information and ensure appropriate documentation of the rationale for closure/ escalation of the transaction surveillance alerts.
Follow up for the alert till conclusion of the alerts. Work closely with the team for alert clearance and being aware of new trends and threats to the bank
Need to maintain/upgrade surveillance system and develop the process as new requirements received from the Group or Local Regulator
To oversee and ensure processing within the timelines defined by Regulators, Group & Process notes
Stake holder co-ordination or management
Work closely with Auditors and Compliance officer
Connect with all stake holder(s) to take clarification wherever needed.
To immediately bring to notice of the management any deviation, breach, concern, whenever applicable
Other Non-Operational Responsibilities:
Handling Inspection conducted by Regulators.
Familiar with all relevant applications like LDCCM, DP Secure, DPM, CDAS etc
Well versed with all laid down process requirements
To ensure timely responses to the Management, Seniors, other units, including managing stakeholders
To assist Manager DP Ops in the periodic updates of the Surveillance policies, procedures and processes (DOI /SOP) and support making necessary modification/ changes, as required.
To propose operational improvements on the processes in consultation with Manager DP Ops.
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.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Comply with SEBI, NSDL, CDSL, RBI and all other Regulatory guidelines & requirements at all times
Our Ideal Candidate
Post Graduate & NISM qualified
Apply now to join the Bank for those with big career ambitions. To view information on our benefits including our flexible working please visit our career pages . We welcome conversations on flexible working. ,
