Job Description

KEY RESPONSIBILITIES (Action Verb – Object – Results)

KEY WORKING RELATIONSHIP

Oversee the Treasury Surveillance activities to ensure compliance with the regulatory requirements and ethical standards of the business activities.
Assess adequacy of the review and closure of Treasury trade and communication alerts, including analysis of any patterns or trends, via the Treasury Surveillance related systems and Monthly Compliance Report.
Review and recalibrate Treasury trade and communication parameters and thresholds on an on- going basis or as and when needed, in efforts to enhance surveillance approach.
Escalate potential market misconduct or potential breach of regulatory limit, to the Group Regulatory Compliance (GRC) COE Lead.
Perform a gap assessment on surveillance scope and processes, following the issuance or revision of applicable local rules and regulations.
Provide advise and feedback to GRC COE Lead and/or other relevant stakeholders on matters related to Treasury surveillance and Limit Monitoring.
Provide periodical updates and report to senior management and/or the Board, for notification and/or approval, where applicable.
Establish good working relationships with internal and external stakeholders, including system service providers, to improve overall surveillance practices.
Complete any other duties assigned by the GRC COE Lead and/or senior management.

Peer Relationship