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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
Support and implement the vision, strategy, direction of CCIB CFCC Advisory teams, consistent with Country Head, CFCC vision and strategy for the CFCC function and in support of the Bank's strategic direction and growth aspirations.
Promote the culture and practice of compliance with CFCC 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.
Establish close links with colleagues leading other Client segments and/or Product Groups to achieve common platforms and work plans, implementing a One Bank approach to covering all Clients.
Develop an understanding of the business model and strategy in order to support Head of CCIB CFCC Advisory, UK with oversight and challenge in order to enable appropriate and sustainable CFCC outcomes.
Support the building and maintenance of an effective and constructive relationship with all key business and functional stakeholders.
Provide financial crime risk management (and where necessary broader CFCC risk management) advice, analysis (and challenge when appropriate) in relation to the CCIB including product design, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), and transactional advice.
Work closely with the business and its operational teams to provide timely advice to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive CFCC risk mitigation.
Support the CCIB business in ensuring CFCC policies, procedures and standards are effectively implemented and adhered to through the provision of training.
Support the resolution of competing requirements between regulations specific to CCIB businesses (i.e. between AML regulations and data privacy/bank secrecy or information security regulations.)
Maintain risk-based compliance frameworks and a programme for monitoring and assuring compliance that supports the transition to pro-active and pre-emptive compliance and conduct risk mitigation
Provide governance and oversight over the implementation of CFCC related policies and procedures relevant to CCIB (to enable compliance with such policies and procedures).
Provide support and challenge to ensure appropriate processes for compliance with CFCC policies, procedures and standards are in place (including meeting regulatory obligations and maintaining high standards of conduct).
Be responsible and accountable for clients within the CCIB segment which are designated as sensitive. Support the 1 st line in preperation of sensitive client forms, development of control frameworks and completion of risk assessments as part of the annual review cycle.
Lead the management of high risk clients within CCIB, providing suitable advice to the 1 st line and ensuring FC risk is measured, understood and well managed.
Respond with clear and accurate advice in respect of FC risks associated to CDD including SRAFs, new client approvals, CDD exemptions and overdues
People and Talent
Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
Support the development of the CFCC Advisory team through the provision of ongoing training and development to ensure that team members are competent, suitably skilled and qualified for their roles, ensuring that they have effective supervision in place to mitigate any risks
In accordance to the Group's Enterprise Risk Management Framework, act as second line Risk Owner for appropriate and relevant CCIB processes.
Collaborate with the other Products CFCC teams, Group & Regional CFCC Advisory Teams 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.
Ensure effective management of CCIB CFCC Advisory matters
Collaborate and support a programme for conduct, financial crime and compliance monitoring, surveillance and/or assurance for CCIB
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 the Group Shared Investigation Services team in relation to investigations concerning CCIB
Liaise with the internal audit function to ensure that any CFCC weakness identified by the internal audit function relating to CCIB activities are appropriately followed up.
As necessary, provide reports to relevant Group and Business risk and control committees and management group on key conduct, financial crime and compliance risks and issues pertaining to CCIB
Provide advice on the application of risk management frameworks (e.g. ERMF).and provide advice to relevant stakeholders on outcomes of risk identification and assessment methodologies
Maintain oversight of risk acceptance and/or mitigating action plans relating to CCIB.
Provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues
Understand technical aspects of systems relevant to CCIB
Support the identification and escalation of potential risks and issues to management through appropriate governance channels and the Quality Assurance framework.
Ensure appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements.
Propose control effectiveness and efficiency improvements and simplifications where appropriate.
Ensure the end-to-end life cycle of audit, assurance and regulatory reviews is managed appropriately, including tracking, remediation and preparing lessons learned from such reviews.
Within the Group's Enterprise Risk Management Framework, establish and maintain appropriate risk based CFCC framework for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across CCIB.
Regulatory & Business Conduct
Display exemplary conduct and live by the Group's Values and Code of Conduct.
Effectively and collaboratively identify, escalate, mitigate and resolve risk and CFCC matters.
Support relevant stakeholders to respond to regulatory questions.
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.
Head of CFCC, UK
Head of FCC, UK
Head of FCC, Europe & Americas
Head of FCC Surveillance & Operations, Europe & Americas
Country Process Owners
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 .