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