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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 & Our Ideal Candidate
To help the Group meet its commitment of being "Here for Good" by building a sustainable framework that places Compliance, Conduct and FCC best practice standards, at the forefront of the Group's agenda.
As an independent second line risk control function, to execute the relevant aspects of the Compliance, Conduct and FCC PRTFs through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group's [Segment] businesses.
For the evalution and assessment of the effectiveness of the Group's Conduct, Financial Crime and Compliance commitments and requirements.
To proactively support and challenge the Group's businesses and supporting functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group's clients.
For maintaining independence, deliveing timely responses, and timely escalation of risks and issues where the management tolerance of the firm is exceeded.
For maintaining constructive and effective stakeholder relationships with the relevant business and supporting functions, and to assist the Country Head, CFCC and the Country Head, FCC to interface with and support all key stakeholders.
For supporting the management of regulatory relationships with all of the Group's regulators, whose rules the Group is subject to.
Drive high standards of regulatory compliance and deliver key priorities and initiatives, aligned to the [Segment] performance scorecard
Set and implement the vision, strategy and direction of CFCC Advisory Head, 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.
Input to Country Business operating model design of relevant Compliance, FCC and business processes.
Develop a comprehensive understanding of the business model and strategy in order to provide substantive oversight support and challenge in order to enable appropriate and sustainable CFCC outcomes.
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 conduct, financial crime & compliance-related advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.
Provide advice, analysis (and challenge when appropriate) in relation to the [Segment] 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 resolution of competing requirements between regulations specific to [Segment] businesses (i.e. between AML regulations and data privacy/bank secrecy or information security regulations.)
Establish and 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
Promoting the culture and practice of global standards to the business, while managing local requirements
Act under delegation from the respective Risk Framework Owners for the principal risk types of Compliance, Conduct and FCC in discharging the responsibilities contained in the ERMF for to the extent that CFCC advisory is the appropriate second line risk owner.
The role holder is not responsible to ensure that [Segment] and CFCC process owners agree their respective handoffs, which ought to be documented in a service level agreement. However, consistent with the CFCC advisory second line responsibilities under the ERMF, the role holder is responsible to ensure that in the absence of an agreement or if responsibilities are poorly executed, the risks inherent in [Segment] are addressed in line with the ERMF.
Develop and maintain effective policies/processes/DOIs (including training, advice and support) (including training, advice and support) to address CFCC risks across [Segment], aligning with relevant regulatory requirements.
Provide governance and oversight over the implementation of CFCC related policies and procedures relevant to [Segment] (to enable compliance with such policies and procedures).
People and Talent
Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
Participate the migration of skill, knowledge, best practice and lesson learned across the network between CFCC Advisory colleagues especially in relation to legal/regulatory risks and compliance with relevant regulations and internal policies/standards as they pertain to [Segment].
In accordance to the Group's Enterprise Risk Management Framework, act as second line Risk Owner for appropriate and relevant [Segment] 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 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 [Segment], as and when necessary.
Liaise with the internal audit function to ensure that any CFCC weakness identified by the internal audit function relating to [Segment] activities are appropriately followed up.
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 [Segment].
Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters relating to [Segment] are tracked, followed, regularly assessed and reported on, including oversight of risk acceptance and/or mitigating action plans, identification and management of high risk clients or specific country reviews relating to [Segment].
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 [Segment].
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 [Segment].
Ensure global standards are understood and implemented in locally, with any identified exceptions, or need for more/less stringent standards escalated to Regional Compliance for joint-decision making.
Attend relevant committee meetings, and provide relevant reports to senior management and governance/risk committees.
Be accountable for identification and escalation of potential risks and issues to senior 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 [Segment].
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.
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 [Securities Service Operation [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.] *
Support relevant stakeholders to respond to regulatory questions.
CCIB Business - TB Business and Securities Services Operations.
Regional TB SS Product Team
Head of FCC
Group Internal Audit
Head of SS Operation
Head of FM Operation
Head of CMS
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Embed Here for good and Group's brand and values in [Segment] CFCC Advisory Team
Perform other responsibilities assigned under Group, Country, Business or Functional policies and standards.
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To view information on our benefits including our flexible working please visit our career pages .