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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.
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.
Actively work with global stakeholders towards the collective goal of adherence to all regulatory requirements of a registered Swap Dealer;
Coordinate the development and implementation of ongoing enhancements to the Swap Dealer compliance program, inclusive of those required by regulatory change (e.g., new or amended regulations
Actively participate in regulatory examinations and data requests.
Actively participate in relevant industry forums to remain current with industry considerations and initiatives.
Provide robust and courageous 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.
Regular and periodic communication with all key stakeholders to facilitate collaboration, and alignment and confront and manage conflict constructively.
Collaborate and communicate with key business and support stakeholders to enable the alignment and flow of information and ideas, as well as continuous streamlining and improvement of processes.
Participate in and present to global and regional management forums;
Centralize reporting and coordination across product level compliance support.
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 businesses.
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).
Take the lead in monitoring and assessing the effectiveness of global processes, policies, procedures and controls;
Critically challenge existing processes to demonstrate that the Bank meets or exceeds regulatory expectations
Ensure effective management of compliance matters, and in collaboration with other Compliance colleagues, 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 shape 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.
Identify, assess and manage a variety of regulatory and conduct risk types within the Bank's established risk management process universe;
In close collaboration with the Group Public and Regulatory Affairs Team, anticipate and assess potential regulatory developments, changes to the regulations themselves, and potential risks or considerations such developments or changes present with respect to swap dealer activities of the Bank;
Produce and/or review MIS reporting and data analytics for presentation and in support of papers and other submissions on behalf of the Swap Dealer Compliance Program (FM NFRC, WMPS NFRC, FM RCOC)
Within the Group's overall Risk Management Framework, establish and maintain appropriate risk-based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting Swap Dealer compliance risks across relevant businesses.
Develop and recommend (for approval by the relevant Risk Committee), appropriate compliance policies and procedures.
Maintain and administer the global Swap Dealer Compliance Manual and other policies and procedures relevant to the Swap Dealer business
Collect and assess testing and performance metrics pertaining to the Bank's swap dealer activities
Support the preparation and delivery of the annual compliance report;
Support global process in a manner which maintains consistency across regions in the fulfilment of all aspects of the Swap Dealer compliance program (this entails building close collaborative relationships with local compliance teams all countries where Swap Dealer business is conducted);
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.
Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
FM COO/ Product Compliance Teams (covering jurisdictions conducting Swap Dealer business)
Global Regulatory Affairs Team
Senior Business Management (across all business lines as applicable)
Group Compliance Assurance
Group Internal Audit
U.S. Regulatory Authorities: CFTC & NFA
Industry Dodd-Frank Working Groups: SIFMA, ISDA & IIB
Embed Here for good and Group's brand and values in the Volcker Compliance Team and within the Compliance function.
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Academic or Professional Education/Qualifications: Bachelor's degree or equivalent
Strong working knowledge of Dodd-Frank Title VII.
Working experience reading and interpreting Federal Register rulemakings.
Working knowledge of financial markets and products (primarily but not limited to derivatives).
Prior working experience at a registered Swap Dealer, regulatory agency, or financial services consultant (with focus on Dodd-Frank and Swap Dealer regulation).
Ability to operate within a large, geographically dispersed and cross-functional stakeholder base.
Exemplary integrity, ethics, and ability to work both within a team and independently.
Strong attention to detail.
Strong organization skills with the ability to multitask and prioritize initiatives.
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 .