Compliance Officer, GC - Compliance Surveillance MY

Job description

Detect and monitor all business approved communication channels and trading activities of employees undertaking treasury activities in Treasury & Markets Department and ensure is in compliance with regulatory requirements and expectations. Identify and recalibrate surveillance monitoring indicators to ensure it is effective and functional. Undertake behavioural and pattern analysis and assessment on surveillance concerns/issues identified from surveillance of trade and communication activities and work closely with the business/support units to address and manage the concerns/issues.

Attend to surveillance concerns/issues escalated by relevant regulators and take necessary/appropriate actions in relation thereto and provide appropriate response to the regulators. Provide feedbacks on surveillance positioning taking into consideration observations made during surveillance activities. Assist in the implementation and testing of new surveillance system and programmes to enable effective functioning of surveillance activities.

Prepare relevant reports for stakeholders (e.g. management, governing committees, board of directors and/or regulators) to enable an informed decision making process. Provide necessary information sharing/training to employees undertaking treasury activities to enhance compliance awareness and education efforts on trading misconduct and the associated requirements. On-going maintenance of a repository on surveillance concerns/issues and matters highlighted internally and/or by relevant regulators in the course of monitoring and surveillance works.

Ensure documentation on surveillance and monitoring works are properly documented, filed and kept. Other duties as directed by the Head of Department and/or direct supervisor.