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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
The role will sit within the CFCC Advisory, Business Risk Framework ("BFA") Compliance team and will report to the CFCC BFA Compliance, Conflicts of Interest Lead. The successful candidate will undertake the following key roles and responsibilities:
Proactively support and guide CFCC Advisory teams on complex COI related matters through effective and collaborative partnership;
Provide oversight and challenge to Group Businesses & Functions to ensure implementation effectiveness of COI Policy. This include providing robust challenge to COI registers periodic/trigger review, risk assessment and governance arrangements;
Support the maintenance of the MiFID Client Disclosure Statement;
Co-ordinate, design and support the implementation of the COI tactical and strategic solutions;
Central maintenance of a register / inventory of compliance and regulatory risks arising from COIs;
Central analysis and extraction of data in a register / inventory of compliance and regulatory risks arising from COIs for various reporting purposes;
Central coordination and maintenance of policy and procedural materials in relation to COIs, through to their embedding in BAU business and functions;
Support Regional and Country Compliance teams in their liaison with regulators for COI related matters;
Central co-ordination and preparation of COI reporting to senior management and key stakeholders (Internal/External)
Preparation of committees and forum papers to provide timely escalation of COI risks and issues to senior management;
Central coordination of the preparation and delivery of training and educational materials in relation to COI risk management;
Support assurance testing of controls and audit related activities.
Other core deliverables
Support and implement the mission, vision, strategy, and leadership for CFCC Advisory BFA, consistent with the Management 's strategy for the Compliance function and in support of the Group's strategic direction and growth aspirations;
Build and maintain an effective and constructive relationship with broader Compliance teams and key business/function stakeholders based on trust, capability, and integrity, to provide timely and quality guidance to enable the businesses/functions in maintaining their COI registers;
Work closely with Risk & Change teams and Vendors to support the implementation of strategic solution;
Support audit or assurance related activities by ensuring timely and quality information/evidence is provided when requested and to ensure audit findings are adequately managed and addressed to the point of completion;
Support the Global Head, CFCC Advisory BFA Compliance, by establishing and maintaining effective processes (including training, advice, and support, where necessary) to ensure that policies, procedures, and standards to address COI risks (excluding financial crime) are effectively implemented and adhered to across the Group ;
Provide support and challenge to the Group's management to ensure that they establish and monitor appropriate processes in accordance with Compliance's policies, procedures, and standards (including meeting regulatory obligations and maintaining high standards of conduct).
People and Talent
Lead through example, and build the appropriate culture and values. Set appropriate tone and expectations within the team and work in collaboration with risk and control partners.
Act as Process Owner under the Group's Risk Management Framework for COI management process;
In collaboration with relevant managers, support the programme(s) for wider BFA teams for relevant businesses and functions in the context of the technology projects, as required;
In the event of serious regulatory breaches, or where risk tolerances have been breached, support the Global Head, CFCC Advisory BFA Compliance, to ensure relevant management and regulators are informed and that actions are taken quickly to remediate and/or cease activities. Ensure proactive and timely identification, assessment, advice, and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform, where appropriate;
Support the Global Head, CFCC Advisory BFA Compliance, in providing reports, as required, to relevant Group and Business risk and control committees and management groups on key COI risks and issues;
Where necessary, maintain adequate management MI/trackers across all aspects of the successful candidate's responsibility to ensure all relevant issues and matters are tracked, followed, regularly assessed and reported on.
Within the Group's overall Risk Management Framework, support the Global Head, CFCC Advisory BFA Compliance, to establish and maintain appropriate risk-based Compliance frameworks in relation to the projects for identifying, assessing, managing, monitoring, mitigating, and reporting compliance (including regulatory and financial crime) risks across the G roup 's businesses and functions .
Support the Global Head, CFCC Advisory BFA Compliance, to develop and recommend (for approval by the relevant Risk Committee), appropriate Compliance policies and procedures.
Attend relevant committees and fora for projects as Compliance's representative. Responsibilities may include preparation of Compliance submissions, regulatory updates, reports, papers, tracking, and follow-up of action items.
Global Head, Compliance, Business & Functions Advisory
Global Head, Compliance, CB & CIB Products & Segments
Group Head, Strategy, Governance & Core Cmpliance
COOs, Operational Risk, Business Project Managers, and ITO Technical Project Managers across all businesses and functions
Our Ideal Candidate
Must have at least 5 years of banking experience
Good knowledge of both local and global rules and regulations, emerging themes, and areas of increasing regulatory focus and attention, including but not limited to the regulatory conflicts and conduct agenda.
Dynamic mindset and openness to innovative ways of working.
Enjoys the challenges of framework and system designing.
Strong appreciation of the importance of proper standards of COI and conduct within the banking business, and an understanding of how to identify and frame COI and conduct risk related issues across the businesses and functions.
Ability to develop and enhance relationships across multiple stakeholders in various business, functional and geographic groups etc.
Ability to consider matters from an end-to-end perspective, including looking at COI and conduct-related matters from the initial policy statements, more detailed procedural aspects, training requirements, assurance testing, and monitoring.
Proven executor of initiatives including leading on improving standards, culture, and behaviour.
Ability to multi-task, work independently within the team, be self-motivated and self-reliant with a genuine desire to get things done to a satisfactory standard and to do the right thing, as well as the ability to provide practical and effective advice. Being able to accept challenge and change, listen to the other points of view, and adapt approach accordingly.
Enjoys working in a fast paced, sometimes demanding environment.
Diplomacy, sensitivity, and the ability to properly and professionally stand your ground when needed and persuade others of the merits of a particular approach.
Excellent written skills, evidenced through the execution of a range of document types, e.g., policies, procedures, committee papers, etc.
Apply now to join the Bank for those with big career ambitions.
To view information on our benefits including our flexible working please visit our career pages .