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* As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group's business. * Support the design, implementation and ongoing operation of a centralised risk assessment process. * Help drive and promote operational excellence within the Surveillance teams. * Proactively support and challenge the Group's businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group's clients. * Evaluate the effectiveness of the Group's compliance efforts. * Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subject to. * Functional responsibility as a member of the Surveillance Risk Assessment & Operational Excellence team. * Maintain constructive and effective relationships with other stakeholders in the Operational Risks, Technology, Compliance and Business functions. * Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Director, Surveillance Risk Assessment & Operational Excellence * Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.
Strategy * Support and implement the vision, strategy, direction of the Surveillance Risk Assessment & Operational Excellence team, consistent with Global Head, Compliance, CIB, CB and PvB ("Global Head") vision and strategy for the Compliance function and in support of the Bank's strategic direction and growth aspirations. * Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
Business * Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality regulatory compliance advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives. * Provide robust challenge to all relevant business stakeholders where activities are outside risk tolerance / appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance / appetite. * Work closely with the business to provide timely regulatory compliance advice to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive compliance and conduct risk mitigation. * Support the Director, Surveillance Risk Assessment & Operational Excellence on his regular and diarised catch ups with all key business stakeholders.
Processes * Support the implementation and ongoing application of a centralised, end-to-end risk assessment framework to assess the gross and residual risk for the risk theme of Market Abuse, connecting this to associated business level risk assessment processes and applying this directly to the ongoing operations of the Surveillance programme. * Support the establishment and maintenance of effective processes (including training, advice and support) to ensure that policies, procedures and standards to address compliance risks (excluding financial crime) are effectively implemented and adhered to across CIB and CB. * Provide support to Director, Surveillance Risk Assessment & Operational Excellence, to ensure appropriate processes for compliance with compliance policies, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct). People and Talent * Adopt appropriate culture and values. Meet up with expectations from their team and work in collaboration with risk and control partners. * Ensure attendance of ongoing training and development to remain competent, suitably skilled and qualified for the role. * Attend regular and documented meetings with line manager. * Escalate resourcing and capacity to line manager when applicable.
Risk Management * In the event of potential regulatory breaches, ensure escalation to Director. Surveillance Risk Assessment & Operational Excellence are informed and that actions are taken quickly to remediate. Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform. Assist and work closely with Shared Investigative Services (SIS) in relation to investigations concerning the CIB and CB businesses. * Provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues. * Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed and reported on.
Governance * Within the Group's overall Risk Management Framework, establish and maintain appropriate risk based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across CIB and CB. * Support the development and recommendation (for approval by the relevant Risk Committee), appropriate compliance policies and procedures.
Regulatory & Business conduct (This is mandatory standard wording, please tailor wording in brackets, do not remove). * Display exemplary conduct and live by the Group's Values and Code of Conduct. * Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct. * Support the CIB & CB Compliance teams to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Operation of Financial Markets, Financial Crime Prevention; Creating the Right Environment. * Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Other Responsibilities * Embed Here for good and Group's brand and values in the Surveillance Risk Assessment & Operational Excellence team. * Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
QUALIFICATIONS - training, licenses, memberships and certifications * Experience in risk identification and regulatory risk assessment. * 5 or more years of compliance and/or market conduct surveillance experience, with experience of performing surveillance controls and risk analysis work at an analyst level. * Critical thinking abilities to identify failure points, operational risks and the ability to come up with a solution to address these. * Knowledge of trade surveillance systems. * Some background in process and controls development.
Standard Chartered is committed to diversity and inclusion. By providing equal opportunities we foster a work environment which embraces diversity and gets the best out of the broadest spectrum of people to sustain business performance and competitive advantage. We build an inclusive culture by demonstrating respect for each other's unique strengths and perspectives to enable every employee to develop a sense of belonging, and have the opportunity to maximize their potential.