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Principally accountable to set up and lead the monitoring and surveillance team by establishing adequate framework, processes and procedures in place, inclusive of ongoing monitoring process. This is achieved by leveraging on technology, detection and monitoring methodologies to:  

• Meet all regulatory and policy requirements
• Achieve strong control oversight
• Identify, assess and report any risk of potential regulatory breaches and incidences
• Establish Management and BOARD updates in accordance to framework.   

Key Responsibilities:

• Working with relevant stakeholders (e.g. Chief Compliance Officer, Managing Director, Global Markets and Global Markets Compliance) to setup a list of equity counters where the bank possesses material non public information or is conflicted thru its trading positions.  
• Review the periodic report on the surveillance and monitoring of Global Markets’ equity transactions/dealings activities performed by the team.
• Identify, assess, report and work with stakeholders to mitigate any risk of potential regulatory breaches and incidences in relation to equity transactions/dealings activities due to market misconduct and other prohibited conduct under the banking, securities and stock exchange rules and regulations.
• Work closely with Global Markets Compliance and Risk to carry out investigations for any potential regulatory breaches and incidences.
• In consultation with Chief Compliance Officer, Global Markets Compliance and Risk to evaluate any potential regulatory beaches and incidences in relation to equity transactions/dealings activities.
• Advise and highlight to Management to implement automated processes and controls, where applicable, to ensure gaps are identified in day to day operations that may expose to the bank on market misconduct and other prohibited conduct are mitigated.
• Facilitate and consolidate responses, surveillance data/evidences/supporting documents for regulators at their requests.
• Guide, mentor and coach team members on activities/initiatives to build up knowledge and experience.
• Review adequacy and completeness of surveillance and monitoring framework, processes and procedures.
• Take on additional responsibilities as and when assigned by Senior Management and/or the Board.

Realise your full potential at Hong Leong Bank by applying now.