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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
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.
Overall leadership and functional responsibility for members of the team.
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 may occur and notifying any such to management.
Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.
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.
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 across Financial Markets.
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).
People and Talent
Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from the team and work in collaboration with risk and control partners.
Assist managing of ongoing training and development of people (including new joiners) and ensure that holders of all critical functions are competent, suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
Assist in employing, engaging and retaining high quality people, with succession planning for critical role s.
Assist in reviewing team structure/capacity plans.
Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.
Regularly and on a timely basis appraise performance
Ensure regular and documented management meetings with direct reports.
Assess competency and skill of the team on an ongoing basis to ensure alignment of skill set to the risk management demands of the business.
Ensure teams are adequately resourced
In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance for Financial Markets.
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 Financial Markets business.
Provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues.
Our Ideal Candidate
Understanding of market abuse regulations within financial Markets. Candidate should also have some familiarity with rules in relation to the UK FCA, US SEC on market conduct.
Knowledge of trade surveillance systems, such as SMARTS
Good understanding of trading/booking systems and infrastructure.
Good product knowledge.
Good understanding and experience in technology project implementation.
Strong communications skills.
Preferably a degree holder in a relevant course with at least 5-7 years of relevant surveillance/monitoring/review/audit work experience.
Analytical, attention to details.
Ability to multitask, prioritise and meet deadlines.
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 .