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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
The role will be in the FM Compliance team under the Head, Controls and Regulatory Reform, Financial Markets Compliance. The successful candidate will be required to undertake the following roles and responsibilities:
Risk and Controls Framework
Support cross product controls delivery agenda, focus on alignment of controls initiatives, oversight of key controls deliverables, governance and review actions, and management of Policy deliverables
Support the ongoing work within the Bank to identify and implement the requirements for the Financial Markets business to comply with global regulations impacting Compliance and the business.
Support reviews of governance processes in place around Best Execution arrangements and controls in First Line, including escalation process, management information, supervisory responsibilities sign-off, management actions, review of procedures and methodology for controls to minimize compliance and regulatory risk.
Design and coordinate the execution of reviews and control processes to test that they are effective and embedded.
Best Execution Oversight:
Support the implementation of Best Execution arrangements for the Financial Markets business to comply with, amongst others, FCA Best Execution rules, FINRA Rules, FCA Thematic Reviews, and MIFID requirements.
Participate in the review and development of Best Execution policies and procedures, develop and implement training programmes as required.
Support the implementation within FM for Best Execution as well as the design and review of related controls under the banks risk management frameworks
Take part to assurance reviews to test efficiency and adequately of the Best Execution Framework.
Support the development of MI and governance framework for Best Execution
Best Execution Second Line Review:
Participate in the ongoing improvement for the Target Operating Model for Best Execution 2 nd line Monitoring.
Perform Compliance oversight and assurance over First Line Best Execution Monitoring processes, including Hard Margin Review, Execution Venue on-going assessment and annual review, Best Execution Client Complaints Management process
Review Alerts triggered through the Best Execution Monitoring Framework, including Hard Margin Review of justification/ rational.
Challenge, when relevant, the appropriateness and quality of justification by First Line of the Alerts, review evidence and escalate where appropriate
Review and monitor the timeliness of close out of the Monitoring Alerts
Perform trending analysis on the Alerts by type, location, product, Supervisor etc. to inform management action and highlight key risks and issues.
Support mandatory periodic review of relevant Policy and Procedure as required such as Order Execution Policy
Our Ideal Candidate
knowledge of Financial Markets products, activities and associated regulatory requirements, and understanding of risks and control frameworks.
the ability to challenge and review evidence. Experience in trade surveillance / review functions would be an advantage.
the ability to develop relationships with multiple stakeholders in various functions and countries, including but not limited to Sales & Trading, Legal & Compliance, Regulatory Reform, IT and Operations, Project Management and the COO Office.
the ability to work independently and within a team. The candidate should have a desire to deliver results, be self-motivated and self-reliant with a genuine desire to get things done.
excellent written English
Good knowledge of MS Excel, MS Word, and MS PowerPoint skills.
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 .