CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
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 C onduct, 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.
Responsible for acting as the Financial Markets Risk Subject Matter Expert within Group Assurance, providing leadership and advice within the team and on behalf of Group Assurance to other key stakeholders. This requires in-depth assurance knowledge of various FM products (vanilla and complex) and business compliance frameworks developed to control the Compliance and Conduct Risk.
For Financial Markets activities undertaken across the Group FM & Business Compliance Framework Lead is responsible for identifying emerging Compliance and Conduct risks and establishing an appropriate risk based program for those elevated risks.
Responsible for being actively involved in the planning, execution and governance over CC Financial Markets Risk Reviews across the Group Assurance team, working closely with the assigned review leads to drive quality and consistency. Group FM & Business Compliance Framework Lead is responsible for participating in relevant governance forums as assigned, engage in any developments to Assurance methodology, and communicating relevant information to direct reports.
Responsible for working in collaboration with Program Team and Regional Heads to capture Financial Markets Risk in the program, including group policies, country regulatory requirements, certification requirements over FM activities (eg Swap Dealer, Volcker, US Broker Dealer) and minimum standards.
Responsible for leading and/or participating in reviews required by plan across products, segments and functions, as required and assigned by Program.
Support and influence the overall CFCC assurance agenda and leadership capability with Financial Markets Risk subject matter expertise.
Act as the Financial Markets Risk Expert across the Group and Regions, leading the teams to develop high quality CFCC reviews where Financial Markets Risk is targeted area.
Support the Head C&C, acting as the visible presence for assurance across the Group with Financial Markets senior stakeholders in first and second line; demonstrating an in-depth knowledge of the risks, activities and processes; and act as a delegate at the relevant senior fora and committees.
Ensure that key changes (to laws, rules, regulations) relevant to the execution of Assurance activities are communicated and cascaded to the Assurance team where necessary.
Communicate outcomes from Assurance reviews to relevant stakeholders and support them in developing mitigating actions to correct identified issues.
In coordination with Program Team, fully engage in the collection of the relevant Financial Markets Risk inputs for the risk based assurance plan, participate in the 1st and 2nd Line Stakeholders discussions, gather 1st and 3rd line testing, analyse the CC CRA, review Region Heads Bottoms Up Plan to drive consistency and efficiency across the consolidated plan; provide input to consolidated plan from external regulatory knowledge, and subject matter expertise
Actively undertake Financial Markets Risk reviews as required by providing hands on and visible leadership in the execution of reviews, including reviewing Scoping Document and Reports under the Quality Assurance Panel requirements for relevant subject matter experts; ensure that all Group's policies and procedures are captured appropriately in the relevant reviews.
Identify new and changing Financial Markets processes and systems, and regulatory requirements by regulator engagements and outreach internally and externally. Establish appropriate reviews to assess new risk, including the extraterritorial impact.
Collaborate with 1st and 2nd Line Checks: Develop quality testing programs for Financial Markets Risk Reviews, incorporating controls checks undertaken under the ORF and other processes/controls developed to comply with rules and regulations.
As the Financial Markets Risk Key Person, promote co-operation and partnership in respect of Assurance with Auditors, regulators, peers and industry as it relates to Financial Markets Risk.
Participate in the senior stakeholder discussions where complex and challenging discussion regarding corrective actions and remediation required to adhere to regulatory requirements or best standards.
Provide regular input to the Program Team for Periodic reporting and timely escalation of significant risk and issues arising from assurance activities
Serve as Financial Markets Risk Subject Matter Expert on the Quality Assurance Panels
Prepare and rollout effective Financial Markets Risk Training Program: including key regulatory requirements with extraterritorial impact, vanilla and complex products, key policies, presses, and standards
Act as delegate, if required, to Head of CC as required to support the Group's CC program.
CFCC Assurance fieldwork may require international travel for extended periods of time.
People and Talent
Identify and lead a high performing program with either direct or non direct reports across the Assurance team to deliver high quality reviews.
Provide leadership, management and coaching to either direct or direct reports to ensure they are highly engaged and performing to their potential.
Promote and embed a culture of openness, trust, and risk awareness where ethical legal, regulatory and policy compliant conduct is the norm.
Stimulate an environment where forward planning prioritisation, deadline management and streamline workflows and collaborative, inclusive effective work practices are the norm.
Support the development of a robust and evolving training curriculum across the team and ensure team are undertaking required developmental learning
Ensure the team have clearly articulated and well understood roles and responsibility through accurate JD's, as relevant
Ensure that all standard people management aspects are completed in a thorough and timely way, objectives, appraisals and P3 process, as relevant.
Complete Mandatory training and ensure all staff complete this.
Complete skills assessment processes, ensuring their personal skills assessment is correctly completed and maintained.
Develop capability to provide assurance over CFCC primary risks.
Make recommendations (and/or implement) to the relevant stakeholders on possible risk management responses to identified risks and / or findings from assurance reviews
Adhere to the required standards of risk management to manage all the assurance processes.
Attend relevant leadership meetings if and when required as by the Head of Compliance & Conduct.
Determine patterns and trends of identified issues across the Financial Markets Risk reviews, set appropriate corrective action to remediate, and report to appropriate governance forums.
In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management are informed and that actions are taken quickly to remediate and/or activities are ceased.
Provide input to periodic insight papers, lessons learned, assurance activities and specific investigations.
Propose control improvements, enhancements and simplifications where appropriate.
Develop, manage and uphold appropriate Assurance methodologies and standards.\
Prepare a coordinated annual risk-based Assurance plan clearly linked to the ORF.
Promote cooperation and partnership in respect of Assurance with auditors, regulators, peers and industry.
Incorporate data gathered from first line of defence (e.g. business) and third line of defence (e.g. Audit) when assessing needs for the Financial Markets reviews.
Adhere to the quality standards and workflows for the Assurance function.
Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Assurance framework.
Regulatory & Business Conduct
Display exemplary conduct and live by the Group's Values and Code of Conduct.
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.
Lead the CFCC Team to achieve 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 and Compliance teams
Business Heads for relevant reviews
Governance and Oversight Team
Heads, Group Internal Audit
Perform other responsibilities assigned under CFCC Assurance.
Our Ideal Candidate We are looking for someone who has the following skills and experience: