Job Description

Role Responsibilities

The Compliance Control Room owns the Group Personal Account Dealing (\xe2\x80\x9cPAD\xe2\x80\x9d) Procedures and the Group Outside Business Activities (\xe2\x80\x9cOBA\xe2\x80\x9d) and other COI Procedures. The purpose of these procedures are to help the Group manage any actual, potential or perceived areas of Conflicts of Interest that may arise in the course of providing financial services to its Clients. These procedures specifically address any potential conflicts of interest that may arise where employees conduct personal account dealing and/or hold Outside Business Interests apart from their job function and duties with the Group.

Responsibilities*

Group Standard Compliance Performance

\xc2\xb7 Take personal responsibility for understanding the risk and compliance requirements of my role. Understand and comply with, in letter and spirit, all applicable laws, and regulations, including those governing anti-money laundering, terrorist financing, and sanctions; the Group\xe2\x80\x99s policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters

\xc2\xb7 Help the Group meet its commitment of being \xe2\x80\x9cHere for Good\xe2\x80\x9d 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\xe2\x80\x99s agenda

\xc2\xb7 Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm

\xc2\xb7 Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Business Delivery and Performance

\xc2\xb7 Review/Approve requests in accordance with SCB Group\xe2\x80\x99s policies related to personal account dealing and outside business interests.

\xc2\xb7 Respond to ad-hoc employee queries (via telephone and email) regarding personal account dealing and outside business account dealing requests based upon the department operations instructions manual.

\xc2\xb7 Responsible for annual attestation process for personal account dealing and outside business interests of staff.

\xc2\xb7 Create various management information reports related to personal account dealing and outside business interests.

\xc2\xb7 Provide support to remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.

\xc2\xb7 Responsible for assisting the Core Control Room globally on administrative (not clearance) tasks related to Preliminary Deal Requests.

\xc2\xb7 Assist with policy, procedure, and strategic initiatives within the Compliance Control Room work relating to Personal Account Dealing and Outside Business Interests.

\xc2\xb7 Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed, and reported on.

People Management and Accountability

\xc2\xb7 Support the Team Manager in performing second level control checks on the PAD, OBA and others COI processes, approved by the ORF.

\xc2\xb7 Support the Team Manager in process improvement and control review initiatives for the Compliance Control Room processes.

\xc2\xb7 Escalate any potential Control Room BAU systems issues to the System Support team

\xc2\xb7 Support the Core Control Room in performing required User Acceptance Testing and User Verification Testing for all Control Room BAU systems enhancements and defect fixes.

Communicate and Collaborate

\xc2\xb7 Support effective and timely communication along with collaboration cutting through functions and business

Business*

GSF Compliance Control room

Processes*

CFCC Control room processes

People & Talent*

\xc2\xb7 Good presentation skills, data analysis, analytical skills and data reporting.

\xc2\xb7 Good communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.

\xc2\xb7 Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast paced deadline driven environment

\xc2\xb7 People/Team leading, coaching and as deputy to team manager in service delivery & management.

\xc2\xb7 Drive performance in compliance service delivery with highest quality of service.

\xc2\xb7 Process owner to establish, govern & maintain work processes to drive service performance

Risk Management*

\xc2\xb7 In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance for compliance control room related matters.

\xc2\xb7 Support all control checks approved by Operational Risk Framework (ORF) & be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework.

\xc2\xb7 Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased.

\xc2\xb7 Assist and work closely with Shared Investigative Services (SIS) in relation to investigations concerning compliance control room related matters.

Our Ideal Candidate

\xc2\xb7 Bachelor\xe2\x80\x99s degree, preferably in business, finance, economics

\xc2\xb7 Minimum 4 years\xe2\x80\x99 experience in compliance, risk management, or regulatory related function in the financial services industry. Else, candidates with 4 to 5 years experience in the area of securities operations with good understanding of securities settlement in multi-markets, knowledge in Forex, derivatives and structured products will also be considered.

\xc2\xb7 Expert level MS Excel, MS Access database skills. Good working knowledge of MS Outlook, MS Word, MS Power point and Internet.

\xc2\xb7 Excellent presentation skills, data analysis and analytical skills

\xc2\xb7 Excellent communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.

\xc2\xb7 Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional manner in a fast-paced deadline driven environment.

\xc2\xb7 Pro-active and possess continuous improvement mindsets to improve compliance service.

\xc2\xb7 Good understanding in quality management process and quality measurement.

\xc2\xb7 Handle ad-hoc tasks or special assignment and to deliver as per timeline & expectation.

ROLE SPECIFIC TECHNICAL SKILLS AND COMPETENCIES AND PROFICIENCY LEVELS*
Manage Conduct Core

Manage Risk Core

Manage People Entry

Compliance Technical Competencies Core

Compliance Policies and Standards Core

Compliance Advisory Entry

Compliance Review and Assurance Core

Surveillance Core

Investigations Core

Compliance Risk Assessment Entry

Regulatory Liaison Entry

Manage Change Entry

Manage Projects Entry

About Standard Chartered

We\'re an international bank, nimble enough to act, big enough for impact. For more than 160 years, we\'ve worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you\'re looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we can\'t wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you\'ll see how we value difference and advocate inclusion. Together we:

Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do

Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well

Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations

Time-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with with minimum global standards for annual and public holiday, which is combined to 30 days minimum

Flexible working options based around home and office locations, with flexible working patterns

Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits

A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning

Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you\'ve applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

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