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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
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; escalating potential or identified breaches to enable the business and functions to meet/ achieve their strategic tactical objectives.
Provide robust challenge to 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).
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.
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.
Individual Portfolio (if any):
Perform the initial review of the communications surveillance function to detect potential market abuse and irregular behavior that may lead to regulatory / compliance issues. Escalate flagged messages to the Communications Surveillance escalation team for further review and follow up.
Assist in business analysis and project related work for enhancements, changes, and new initiatives within the FM Trade Surveillance / Communications Surveillance space.
Support any ad hoc data retrievals and reviews from source, i.e. Bloomberg Vault, Reuters Messenger Compliance Module, OCS, and Ice Chat.
Perform periodic review and escalation of chat room administration and usage monitoring
Perform periodic manual monitoring by reviewing and escalating to the relevant parties.
Follow up with Country Compliance, Business Compliance, Control Room, SIS team respectively on escalations sent to the Communications Surveillance escalation team
Ensure proper log and record keeping for all escalation documents
Our Ideal Candidate
Academic or Professional Education / Qualifications; i.e. standards require for roles
Licenses and Certifications / accreditations; i.e. internal / externally required
Professional Memberships; i.e. require for roles for continuous development / improvement / awareness of current practices etc
Bank training; i.e. mandatory & developmental - role specific, and regulatory / compliance bank wide & role specific
Languages; i.e. those require for roles (English, Mandarin);
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 .