Job ID: 22243
Location: Warszawa, PL
Area of interest: Governance, Risk Management & Compliance
Job type: Regular Employee
Work style: Hybrid Working
Opening date: 4 Mar 2025

JOB SUMMARY

Responsible for identifying, assessing and / or escalating potential incidences of potential improper employee conduct indicative of risk sub types covered by Compliance Surveillance, with particular focus on sales practices and product suitability as well as other irregular behaviour that may lead to regulatory / compliance issues.

QUALIFICATIONS

• Bachelor’s degree and work experience in the financial industry, preferably Surveillance / Compliance / Regulatory / Sales, Trading & Customer Relationship preferred but not essential.
• Understanding of private banking/wealth management business.
• Experience in providing personalized financial advice or guiding clients in investment decisions will be considered an asset.
• 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, relevant regulations and guidance on MiFID II, Market Abuse, Suitability and Appropriateness.
• Working knowledge of MS Office Suite.
• Excellent communication in English (articulation and writing); additional language capabilities in particular Mandarin, Cantonese, 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

• Perform the initial review and/or resolve Compliance Surveillance alerts/cases to detect and escalate potential incidences of improper employee conduct indicative of risk sub types covered by Compliance Surveillance, with particular focus on sales practices and product suitability as well as other irregular behaviour that may lead to regulatory / compliance issues.
• Escalate potential issues according to Compliance Surveillance AAA model taking into consideration the Directives of MiFID II.
• Perform ad hoc investigations or deep dive into cases where warranted or requested by management.
• Maintain good working relationships with CFCC Advisory, as well as Front and Back Office Operations.
• Proactively support and challenge the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Group’s clients.
• Drive / encourage initiatives aimed at helping improve efficiency and boost quality of existing Compliance Surveillance processes 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.
• Responsible for assisting to maintain an up-to-date book of work, which ensures the accurate tracking of workstream deliverables, key decisions, meeting minutes and other relevant documents for the Surveillance Optimisation team. The individual will be regularly interacting with the Surveillance Governance team to ensure such updates flow through the relevant governance forums of the surveillance programme.
• Support other streams of work whenever there is a business need.