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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
Conduct, Financial Crime & Compliance (CFCC) are here to enable sustainable business: delivering the right outcomes for our clients and our markets by driving the highest standards in conduct, in fighting financial crime, and in compliance.
Execute CFCC Assurance Review activities (or any other related tasks) as directed by their Line Manager or assigned task manager .
Contribute to any development of the CFCC Assurance Methodology ("the Methodology") as necessary.
Execute assigned review tasks within the designated business area; identify and record potential issues and ensure that these are formally evaluated according to the Methodology
Actively engage in the Review processes, taking every opportunity to develop their knowledge and understanding of SCB Business and the execution of Assurance while delivering their tasks
Read, understand, refer to, and follow the Methodology in all aspects of their Assurance work
Support their Review leader in Review scoping and set up processes.
Efficiently execute assigned tasks within the Review, as required by the Methodology.
Ensure that all work papers required for their assigned areas of responsibility are completed to required quality standards.
Ensure that all documentation is correctly filed, as required by the Methodology.
As required by the Methodology track issues throughout the issue lifecycle, capture and track the issue data in the relevant tracking tool and ensure the remediation of issues arising from assigned Reviews (and any other assigned task) is sustainable and validated before closure.
Inform the Review leader immediately when a serious regulatory breach is identified, or if risk tolerances appear to have been breached.
Work with their team to identify and propose control enhancements and / or simplifications where appropriate; support all control checks required under the Operational Risk Framework ("ORF").
Collaborate with Auditors, regulators, peers and industry, under the guidance of their Line Manager or Review team leader.
Monitor quality standards for Review activities within their area of responsibility; suggest actions to drive performance improvement where identified.
Capture and communicate insights arising from Review execution activities; suggest actions to drive improvement of the Methodology.
Complete skills management processes, ensuring their personal skills assessments is correctly completed and maintained.
Follow the spirit of the core principles for travel and expenses.
CFCC Assurance fieldwork may require international travel for extended periods of time.
People and Talent
Adopt and promote a culture of openness, trust, and risk awareness where ethical legal, regulatory and policy compliant conduct is the norm.
Actively demonstrate effective work practices including forward planning prioritisation, deadline management and collaborative, inclusive execution.
Take responsibility for own personal development and complete all mandatory training as required in line with the Banks principles and guidelines.
Complete all developmental learning as required in the SCB and Assurance training curricula.
Complete all required people management tasks in a thorough and timely way, including personal objective setting, appraisals and the P3 process.
Consult their Line Manager or other assigned task manager when guidance is needed with regard to roles and responsibilities, or assigned tasks are beyond their individual capabilities.
Take every opportunity to engage in the development of capability to provide Assurance across all CFCC risk types.
Adhere to the required risk management standards for all Assurance processes.
Ensure that work delivered in their area of responsibility follows prescribed workflows and meets quality standards for the Assurance function with the required attention to detail and within the timelines set.
Swiftly escalate significant risks and issues arising from their Assurance activities by notifying their task manager.
Where required, provide accurate, timely and insightful reporting on CFCC standards and operational performance as identified through oversight and assurance activities.
Regulatory & Business Conduct
Display exemplary conduct and live by the Group's Values and Group Code of Conduct.
Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across the Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
Support their Head of Assurance or Head of team in achieving the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Country Risk & Compliance teams.
Business Heads/Functional Heads for relevant reviews