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About Standard Chartered We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities
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.
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.
Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subject to.
Maintain constructive and effective relationships with local and regional Business Heads/Business Chief Operating Officers ("COOs"), and assist relevant Compliance heads to interface with and support all key business stakeholders.
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 Global Head, Compliance, Cross Border.
Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.
Support and implement the vision, strategy, direction and leadership of Cross Border Compliance team, consistent with Global Head, Compliance Cross Border ("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.
Support the development and maintenance of cross border policy and standards to facilitate cross border business, and assists in managing the regulatory risks emanating from such cross border activity.
Assist and oversee the provision of compliance advice relating to the development and implementation of the Group's strategy in non-presence countries and representative office countries.
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 senior management and 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 maintenance of cross border policy and standards to facilitate cross border business, and assist in managing the regulatory risks emanating from such cross border activity. As such, assists in utilization of the Group's foot print while helping to risk manage the risks that emanate from such utilization.
Regular and diarised catch ups with all key business stakeholders.
Help support and maintain effective processes (including training, advice and support) to ensure that policiesand standards to address compliance risks are effectively implemented and adhered to across businesses .
Provide support and challenge to the Bank's senior management to ensure that they establish and monitor appropriate processes for compliance with compliance policiesand standards (including meeting regulatory obligations and maintaining high standards of conduct).
Oversee the upkeep of detailed guidance on cross border client engagement.
Assist investigations into potential unauthorised and off-strategy travels.
People and Talent
Lead through example and help build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
Assist in ensuring effective management of compliance matters, and in collaboration with the rest of the Compliance team, effectively manage compliance issues that have a significant impact on the Bank.
In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Bank and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased. Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform.
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.
Support country and regional level risk control owners of the cross border processes under the Group's Enterprise Risk Management Framework.
Assist in the provision of oversight across cross border client engagement, ensuring compliance with the highest standards of regulatory and business conduct and compliance practices as defined by internal and external requirements. This includes compliance with local laws and other applicable laws (e.g. laws governing securities activities, company law) and anti-money laundering regulations and guidelines.
Possess a well developed awareness and understanding of the regulatory framework in which the Group operates, and the regulatory requirements and expectations relevant to cross border client engagement as they relate to each of the businesses operating in each country.
Demonstrate ability to deliver 'effective governance'; capability to challenge fellow executives effectively; and willingness to work with any local regulators in an open and cooperative manner.
Conduct training on managing cross border risk across the Group.
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.
Assist the CIB & CB Compliance teams to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Financial Crime Prevention; Creating the Right Environment.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Regional and Country Business Management
Regional COO and BPM
Business, Country and Regional Compliance
Support the embedding of Here for good and Group's brand and values in the Group's Compliance Teams.
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Apply now to join the Bank for those with big career ambitions.
Internal Number: 5910015
About Standard Chartered Bank
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