Circle Lead, Regulatory Compliance Surveillance

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