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ICBC Standard Bank Plc (ICBCS) is 60% owned by Industrial and Commercial Bank of China and 40% by Standard Bank. ICBCS benefits from a unique Chinese and African parentage and an unrivalled global network and level of expertise.
ICBCS is a leading financial markets and commodities bank, driven to deliver the right outcomes for our stakeholders, clients, counterparties and the markets in which we operate. We deliver products in an environment which considers the appropriate needs of our clients, whilst providing guidance and expertise to ensure our employees understand our business and uphold the highest levels of conduct. We want passionate and talented individuals who are motivated by high growth potential being achieved in doing business the right way.
Headquartered in London, ICBCS also has operations in Shanghai, Singapore and New York.
Surveillance works closely with Compliance IT to assist development and maintenance of the automated monitoring and other related systems. This ensures the continued innovation and enhancement of the systems to meet new regulatory requirements, changes in business strategy and emerging risks within the Firm.
In addition to transaction surveillance, the Surveillance team is tasked broadly with other aspects of Market Conduct and Financial Crime Compliance including ad-hoc investigations into reports of suspicious behaviour, suspicious transaction and activity reporting, delivery of training, policy and procedure drafting, and leading bank-wide risk assessments.
A Market Conduct compliance business analyst is required on a temporary basis to support the Analysis and Design phase of the Surveillance Transformation Project (STeP). The Surveillance Alerts & Investigations team carries out the essential role of detecting and deterring financial crime (which includes money laundering, terrorist financing, bribery and corruption, sanctions breaches, facilitation of tax evasion, fraud, modern slavery, insider dealing and market manipulation) and market misconduct.
An in-house developed surveillance system provides automated alert capabilities across a number of key financial crime and market abuse scenarios for review by the team who escalate any unusual or suspicious behaviour to the Surveillance Alerts & Investigations Team Leader. In parallel to the automated surveillance, Analysts also carry out a manual monitoring programme which includes communications monitoring.
Responsible for the gathering of detailed business requirements for the automatic detection of potential market misconduct or abusive trading behavior.
Maintain complete and accurate records of meeting minutes, actions and key decisions.
Provide support on ad-hoc projects which require reactive response such as regulatory or exchange enquiries; this includes assisting with the implementation of remedial actions relating to such enquiries.
Assist with the testing and evaluation of Surveillance system enhancements
Assist in Functional / UAT / BCP / DR testing where required
Document and agree the current and target business processes as it relates to meeting the market abuse regulatory obligations.
Conduct in-depth gap analysis of the data availability within the organization
Work closely with Solutions Architecture to provide effective business solutions
Complete full Business Requirements and Functional Requirements Research
Report progress regularly to project manager and sponsors
Work closely with Business sponsors, end-users and key stakeholders to solicit requirements relating to compliance and surveillance function.
Document to a very high-standard the requirements, regulatory traceability and logic using business-legible language
Research pertinent regulations to assess full regulatory impact
Demonstrate traceability and coverage of requirements from regulations to reports by product
Conduct workshops as necessary to garner stakeholder approval or ratify requirements
Engage effectively with end-users to drive sign-offs witihin project timescales.
Work with end-users to develop test scenarios and scripts for UAT
Ability to facilitate workshops, work stream meetings and effectively produce required materials
Proactive work ethic and ability to own end to end deliverables and work well within and across small teams.
Ability to actively raise risks, issues and dependencies which prevents progress and impacts delivery milestones.
Ability to align to organizational governance and standards where applicable
Experience of market surveillance technologies acquired through project implementation or as an end-user is preferable
Detailed knowledge and understanding of market abuse regulations within Capital Markets, Derivatives and/or Commodities Markets
Preferred Qualifications and Experience
Experience of working in a regulated environment, ideally within an Investment Bank or Broker Dealer
Experience working in a Surveillance team or compliance regulatory project
Knowledge, technical skills and expertise:
Understanding of Financial Instruments and Regulated Markets and Commodity products and experience in Commodity market abuse monitoring
Understanding of Investment Banking/Primary Markets transactions and relevant Market Abuse laws, regulations and guidelines