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Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group's agenda
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.
Evaluate the effectiveness of the Group's compliance efforts
Assist relevant Compliance heads to interface with and support all key business stakeholders
Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded
Support Head, Compliance, Policy to establish, implement, and maintain a clear and robust process for the issuance, review and approval of compliance policies and standards
Support Compliance Policy and Standard Owners on proactive identification, assessment, advice, and dissemination of evolving regulatory changes / practices and associated risks, and proactive engagement in regulatory reform in areas assigned to the role
Support Compliance Policy and Standard Owners to ensure all Compliance-owned policies and standards have clear plans for engagement, implementation, training, communications and assurance/monitoring prior to issuance.
Formulate approach to obtain appropriate management information to assure effective controls and standards in compliance policies and standards.
Support the Businesses and Functions in understanding their needs, and crafting effective policies for compliance risk management.
Be and effective second line of defence in day-to-day responsibilities, including advice on interpretation and applicability of policies and standards.
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
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 regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.
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.
Regular and diarised catch ups with all key business stakeholders.
Establish and maintain 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.
Provide support and challenge to the Bank's senior management to ensure that they establish and monitor appropriate processes for compliance with compliance policies, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct).
Ensure effective management of compliance matters, and in collaboration with the rest of the Compliance team, effectively manage regulatory issues that have a significant impact on the Bank.
Collaborate with the other Compliance teams to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
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.
Regulatory & Business conduct
Display exemplary conduct and live by the Group's Valued Behaviours 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 Central Compliance team 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.
Senior Business Management
Compliance Management Team
CFCC Advisory Leadership Team
Central Compliance Leadership Team
Group Enterprise Risk Management
Embed Here for good and Group's brand and valued behaviours
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
QUALIFICATIONS: Training, licenses, memberships and certifications
Good understanding of regulatory frameworks and banking regulations
Substantial experience in the legal and regulatory field, compliance risk management or equivalent legal experience
Experience in managing policies and standards within a banking environment
Good judgement enabling the provision of sound advice in difficult areas of law, regulation and practice
Proven experience with coordinating change and manage demanding stakeholders in multi-disciplinary subject
Excellent oral, written communication and presentation skills
Team player who demonstrates strong interpersonal skills
Internal Number: 6113285
About Standard Chartered Bank Malaysia Berhad
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