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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
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.
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 the relevant Business Heads, Chief Operating Officers ("COOs"), and other functional stakeholders, and assist Country Compliance, FCC, Control Room and other relevant Compliance teams to interface with and support such 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 Head, Compliance, CIB & CB, China.
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 for CIB&CB Compliance in the Country, 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.
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.
Work closely with Country businesses in delivering products and transactions to Country clients in an appropriate and compliant manner, promoting the culture and practice of global standards, while managing local requirements.
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 imple mented and adhered to in the Country.
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).
Act as RFO under the Group's Risk Management Framework for Securities Services processes in the Country where Compliance is the second line Risk Owner.
In collaboration with the Country Compliance Assurance team ensure that local risks associated with the business in the Country are reflected in country risk assessments, with compliance reviews established where necessary and ensure Compliance involvement in the resolving and identified regulatory or compliance issues relevant to the businesses. Escalate to Regional Compliance where required.
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 Products Compliance teams and the Compliance Management Group 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.
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. Assist and work closely with Shared Investigative Services (SIS) in relation to investigations concerning the Securities Services businesses in the Country.
Provide reports to relevant Country 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.
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 Securities Services businesses in the Country.
Develop and recommend (for approval by the relevant Risk Committee), appropriate compliance policies and procedures.
Ensure appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements.
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.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
CBIRC, SAFE, PBOC , CSRC
Various Business Stakeholders
Embed Group's brand and values in CIB and CB Compliance team in the Country.
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
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