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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 Purpose To provide compliance guidance and advice for wealth management business, primarily focusing on Investment and Insurance.
The Role Responsibilities
Review and advise on the rules/ regulations/ consultations papers issued by regulatory authorities
Advise the designated business and/or support units about all applicable laws and regulations, and assist them to establish appropriate policies, manuals and procedures for their operations with due regard to all applicable Group requirements and regulatory requirements
Ensure that products and services offered by the Bank, the relevant marketing materials and operational processes are in compliance with the Group requirements and local regulatory requirements
Provide advisory services to wealth management business and/or support units on all relevant compliance issues and to liaise with regulators
Review the advertising and marketing materials, new product initiatives, incentive scheme and obtain regulators' approval as required
Handle and advise on regular submissions / ad-hoc surveys, regulatory information request / enquires / inspection, and liaise with regulators and coordinate appropriate responses to their queries
Review and advise on customer complaints and liaise with regulators as necessary
The Role Requirements
Extensive experience in the areas of audit and/or compliance
A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
Sound knowledge of rules, regulations and statutory requirements of Hong Kong Monetary Authority / Insurance Authority / Securities and Futures Commission and/or other regulatory bodies
Effective communications skills (written and spoken)
Strong analytical skills
Good interpersonal skills and a team player
Good judgement and ability to work under pressure
Independence and robustness
Personal authority, integrity and ethics
Apply now to join the Bank for those with big career ambitions.
Internal Number: 6351196
About Standard Chartered Bank
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