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
Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct 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 CF & PF businesses.
Proactively support and challenge the Group's businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group's clients.
Evaluate the effectiveness of the Group's Conduct, Financial Crime and Compliance commitments efforts.
Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subject to.
Maintain constructive and effective relationships with Business Heads/Business Chief Operating Officers ("COOs"), and assist Global Head, CFCC Advisory, CF, PF & Transactional Conflicts to interface with and support all key business stakeholders.
Insofar as they relate to Financial Crime risks, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to CFCC Advisory, CF, PF & Transactional Conflicts.
Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm is exceeded.
Support and implement the vision, strategy, direction and leadership for Corporate Finance and Principal Finance CFCC Advisory teams, consistent with Global Head, CFCC Advisory, CIB, CB and PvB ("Global Head") vision and strategy for CFCC Advisory and in support of the Bank's strategic direction and growth aspirations.
Promote the culture and practice of compliance with compliance and FCC 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.
Build and maintain an effective and constructive relationship with CF and PF and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality regulatory compliance advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.
Provide conduct, financial crime and compliance advice, analysis (and challenge when appropriate) to CF and PF and this may involve transactional advice
Where CF and PF 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 CF and PF to provide timely regulatory compliance advice in to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive compliance and conduct risk mitigation. Assist in the identification, management and resolution of transaction conflicts, including the framework.
Work with Compliance & FCC colleagues in countries pursuant to relevant regulatory handling processes to implement local regulations, as they impact on the Process Universes of the CF & PF Businesses, and/or where CFCC Advisory (including the Control Room) is the relevant Risk Owner.
Regular and diarised catch ups with all key business and functional stakeholders.
Act under the delegation of the ERMF with respect to Compliance, FCC and Conduct risks as second line risk owner of CF and PF process universe. Drive sound governance based on risk identification and rating, policies, standards, processes, controls (preventive, detective and directive) and the correct levels of monitoring and assurance into the region and its constituent countries.
Establish and maintain effective processes (including training, advice and support) to ensure that policies, procedures and standards to address compliance risks (including financial crime as appropriate) are effectively implemented across Corporate Finance and Principal Finance.
Provide support and challenge to Corporate Finance and Principal Finance 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).
In accordance with ERMF, act as second line risk owner for relevant Corporate Finance and Principal Finance processes.
In collaboration with relevant senior managers and other CFCC Advisory teams, support a programme for conduct, Financial crime and compliance monitoring, surveillance and assurance for Corporate Finance and Principal Finance.
Ensure effective management of CFCC Advisory matters, and in collaboration with the rest of the CFCC Advisory team, effectively manage regulatory issues that have a significant impact on the Bank.
In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure Global Head CFCC Advisory, CF&PF and relevant Country Compliance 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.
Assist and work closely with the Shared Investigation Services team in relation to investigations concerning the Corporate Finance and Principal Finance business.
Provide reports to relevant Group and Business risk and control committees and management group on key conduct, financial crime and compliance risks and issues on CF & PF.
Maintain adequate management MI / trackers on CF & PF CFCC risks and responsibility to ensure all issues and matters are tracked, followed, regularly assessed and reported on.
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.
Support CF and PF to achieve the Conduct 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.
Corporate Finance and PF Business teams
Corporate Finance and PF COO Team
Corporate Finance and PF Operations Risk team
CF & PF Legal Team
Group Internal Audit
Group Control Room
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 .