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Our Risk & Compliance function is instrumental in building an effective platform to execute the Bank's strategy and support sustainable performance.
Our key focus, in partnership with the businesses, is to ensure that we build a healthy risk culture in the Bank and embed a sustainable framework that places regulatory and compliance standards and a culture of appropriate conduct at the forefront of the Group's agenda.
The Head is expected to provide an assurance opinion across the Group's systems based on product, client segment and function which have a material impact on the risk types within Compliance and FCC. In addition the Head will be the thought leader on all technical and systems matters within the global assurance team and will be expected to ensure data mining tools and external best practice are brought to the wider team.
The Head is responsible for providing assurance to senior management that material Compliance risks, activities and processes which rely on system and data are operating as intended and driving good risk outcomes. This role will provide functional strategy, and thought leadership and advice for all Compliance and FCC systems assurance conducted.
The Head is responsible for the planning, coordination, execution, evaluation, reporting and advancement of Compliance and FCC Assurance reviews (the "Review") and to provide functional leadership and advice for all assurance conducted. The Head, is expected to provide assurance across all of the Group's activities across relevant Compliance and FCC Systems and Data in scope.
Own, establish and deliver the '2nd Line of Defence' Compliance and FCC Assurance strategy and Programme across the Group for requirements for relevant systems.
Identify and communicate related emerging trends and systemic issues through the analysis of assurance reviews in scope.
Contribute to the development of the Assurance Methodology and business practices/ processes to contribute to the improvement of the operation of the function.
Provide regular summaries or urgent escalations where applicable to Senior Management within Compliance and FCC.
People & Talent
Identify, Lead, Manage and Develop a high performing team of qualified specialists to drive assurance on the subject matter. Provide leadership, management and coaching to direct reports to ensure they are highly engaged and performing to their potential.
Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
Collaborate with training teams to input to training curriculum to support closing of capability gaps.
Ensure staff have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions and objectives.
Complete mandatory training and ensure all staff complete training.
Developing capability to provide assurance over compliance and FCC primary risks.
Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identified risks and/or findings of concerns from Assurance Reviews.
Inform senior management of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased.
Regulatory & Business Conduct
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.
Lead the Compliance and FCC Assurance team to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters
Experience and Skills Required
Exemplary assurance, audit or regulatory inspection experience within the Compliance arena in a financial services environment with minimum of 10 years' experience at a senior level
Relevant Audit certification or equivalent experience.
Certified Anti Money Laundering Specialist or International Compliance Association Diploma Certification (Preferred).
Certified Financial Crime Specialist Certification (Optional). Experience of leading audit and/or assurance teams for high risk types and operating as part of wider review team
Knowledge of Compliance and local laws and regulations relating to Compliance and an understanding of best practice risk management techniques and frameworks relevant to the banking industry.
Experience of leading IT audit and/or systems assurance teams for high risk types and operating as part of wider reviews
Extensive experience of assurance in an international environment.
Excellent interpersonal, oral and written communication skills.