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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
To provide regulatory and compliance advice, oversight and support to the businesses (in particular FM, Treasury Markets, DCM, Syndication desk) and, if need be, the functions in SCB AG, in particular (but not limited to) on all Capital Markets (Wertpapier-)Compliance matters with specific focus on the sales and trading activities as well as operational side and respective reporting and exchange membership matters. Act as the regulatory specialist with respect to Capital Markets activities (Wertpapier-Compliance). Ensure compliance of SCB AG's activities in Germany (and the EEA as appropriate) with all laws, regulation and relevant standards, in particular with respect to Capital and Treasury Markets Front line activities and Operations Compliance as described above. To support Head of Compliance and the Regional Compliance Team in all matters (including project work and project management responsibility), in particular having any relevance to Capital Markets Compliance and, if need be, in all other Compliance matters. To assist and effectively support the Head of Compliance to provide comfort to senior management that the Bank is in compliance with its legislative, regulatory and best practice requirements with regard to its activities (businesses, governance and functions). To provide specialist advice on recovery and resolution laws and regulation as well as the bank's planning activities. Under the direction of the Head of Compliance, to act as liaison with auditors and regulators (if and when needed) and to provide support to the Head of Compliance during audits and regulatory inspections as well as with respect to regulatory enquiries etc. Help to drive the business through regulatory advice, training and product support. Ensure compliance of all Policies, Procedures and Manuals with relevant German and European laws and regulation. Ensure compliance with relevant Market Abuse regulation (incl. timely reporting) and proactively develop respective control measures.
Responsibility (under the direction of the Head of Compliance) and with specific focus on Capital Markets Compliance:
- the provision of relevant training to German staff and other countries if necessary; - review, drafting and implementation/ roll out of policies and procedures; - development of respective control framework and conduct of control activities; - development of relationships and regular liaison with BORM/UORMs and other operational risk functions and product development teams to ensure that Compliance are aware of all relevant material developments; - identification and the analysis of new regulatory initiatives concerning capital Markets Compliance to ensure all material matters are considered and any necessary procedures are implemented, including providing training to relevant staff; - providing of relevant testing and quality assurance work as well as monitoring activities; - responsibility for all relevant Capital Markets compliance matters (mainly WpHG/ MiFID/ MAR/ EMIR compliance but also potentially Dodd Frank, Volcker and other G20 derivatives); - advice of SCB AG also in respect of non-presence EEA countries (as appropriate); - proactively ensuring that relevant policies, procedures and manuals are kept up to date; - ensuring that all (new) products and services are in compliance with relevant laws and regulation - regularly prepare and record relevant Management Information and other documents or information for documentation purposes as well as, on an ad-hoc basis, escalation purposes
- Maintain a thorough understanding of legislative and regulatory developments that affect SCB AG's operation and business in Germany and regularly communicate those to relevant (business/ functional) stakeholders (e.g. through trainings etc.). - Compile and regularly update relevant Obligations Register(s) as well as management information tools (and if necessary represent Compliance in local meetings like Residual Risk Rating Meetings, New Product Approval meetings etc.). - To undertake necessary testing and quality assurance work with respect to the Operational Risk Framework/ ERMF. - To contribute to, collate and where necessary prepare MI and presentation. - Undertake required control or review activities so that rule breaches and Compliance control weaknesses can be identified and, thereafter, subjected to appropriate remedial action. - Identifying and measuring Compliance risks (in particular in the area of Capital Markets activities) in order to be able to assess the impact and likelihood of a particular risk materializing. - Regularly update the Compliance Manual to document the essential details of SCB AG's regulatory systems and controls in relation to Capital Markets Compliance to let staff know what is expected of them from a regulatory perspective. - Support to maintain the local Compliance share point and folders. - Support Head of Compliance in providing Compliance oversight of EEA Offices and activities into non-presence EEA countries and, as deemed necessary for other countries, - Proactively identify areas in which training is required and assist in preparation of a training plan. - Develop and deliver training to make staff aware of the Compliance requirements that are applicable to them (this can be done in conjunction with Regional and Global colleagues as required). - Engaging in advisory work to provide guidance to the business on how to comply with relevant requirements in the context of issues that are raised during normal business activities and to ensure that the Bank operates in accordance with relevant local requirements (in particular in the area of Capital Markets activities) and standards of the regulatory system, SCB AG standards and the Code of Conduct so as to protect and enhance the reputation of the Bank. - Ensure product level compliance with laws and regulations and Group policies through a detailed understanding of local regulatory requirements and close coordination with SCB AG product specialists (review and update PPG and Country Addenda). - Assist in the analysis of new product initiatives to ensure implementation complies with applicable local laws and regulation. - Proactively help to implement and establish a comprehensive and sufficient Compliance and control framework for SCB AG in order to fulfil all applicable laws and regulation (German and European laws and regulation and requirements). - Assist in the roll out of policies, procedures and other initiatives, and their compliance with applicable laws and regulation, in particular in relation to Capital Markets activities and matters. - Provide solid Compliance advice to all business areas in SCB AG. Risk Management
· Together with Head of Compliance contribute to the development of the overall Risk Assessment and annual Compliance Plan to ensure that compliance risks (in particular in respect to Capital Markets Compliance) in Germany are appropriately mitigated · Conduct of the Compliance Risk assessment · Attending the FM Residual Risk meetings and final assessment of residual risks · Member of the Financial Markets Business Operational Risk Forum
Ensure compliance of SCB AG's activities in Germany (and the EEA as appropriate) with all laws, regulation and relevant standards, in particular with respect to Capital and Treasury Markets Front line activities and Operations Compliance as described above. Ensure compliance of all Policies, Procedures and Manuals with relevant German and European laws and regulation. Ensure compliance with relevant Market Abuse regulation (incl. timely reporting) and proactively develop respective control measures. Develop and deliver training in order to make staff aware of the Compliance requirements that are applicable to them (this can be done in conjunction with Regional and Global colleagues as required). Proactively help to implement and establish a comprehensive and sufficient Compliance and control framework for SCB AG in order to fulfil all applicable laws and regulation (German and European laws and regulation and requirements).
Regulatory & Business Conduct
Display exemplary conduct and live by the Group's and SCB AG'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 and SCB AG's Code of Conduct. Achieve the outcomes set out in the Bank's Conduct Principles Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- SCB AG Management Board and EEA Country Compliance colleagues - Product/Business Compliance colleagues in the Region and globally - SCB AG Compliance network (in particular Head of Compliance Europe) and the wider Regional Compliance Team in the UK - Control Room and Trade Surveillance Teams - SCB AG Staff in the businesses (in particular FM, FM Operations, Treasury Markets, and DCM)
· Free access to all documents and records, incl. all systems and files · Authority to intervene in activities etc. where it is believed, on reasonable grounds, that without such intervention a material breach of regulations or laws will occur or that the reputation of Standard Chartered will be put at material risk. · This is an advisory and controlling role and the position is influential given the reputational implications of the matters advised on.
Advice in Recovery and Resolution matters
Coordination of external audit requests in regard of the regulatory assessment of capital markets requirements
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