Job Description

The Role Responsibilities Job Role The Compliance Control Room owns the Group Personal Account Dealing (PAD) Procedures and the Group Outside Business Activities (OBA) and other Employee Declarations 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 Activities apart from their job function and duties with the Group. Group Standard Compliance Performance 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\'s policies and procedures and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters. 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. Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Business Delivery and Performance Review / Approve requests in accordance with SCB Group\'s policies related to personal account dealing, outside business activities and other Employee Declarations. 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. Responsible for annual attestation process for personal account dealing and outside business interests of staff. Create various management information reports related to personal account dealing and outside business activities. Provide support to remedial activities (including nature, scale and rigour of past business reviews), transitional investigations. Responsible for assisting the Core Control Room globally on administrative (not clearance) tasks. Assist with policy, procedure, and strategic initiatives within the Compliance Control Room work relating to Personal Account Dealing and Outside Business Activities. 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. Accountability Support the Team Manager in performing second level control checks on the PAD, OBA and other Declaration processes, approved by the ORF. Support the Team Manager in process improvement and control review initiatives for the Compliance Control Room processes. Escalate any potential Control Room BAU systems issues to the System Support team. 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 Support effective and timely communication along with collaboration cutting through functions and business. Business GSF Compliance Control room. Processes CFCC Control Room processes. People and Talent Good data analysis, analytical skills and data reporting. Good communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff. 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. Experiences in identify, escalate, mitigate, and resolve risk, conduct and banking compliance matters. Risk Management In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance for compliance control room related matters. Support all control checks approved by Operational Risk Framework (ORF) and be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework. 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. Assist and work closely with Shared Investigative Services (SIS) in relation to investigations concerning compliance control room related matters. Regulatory and 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. Lead the 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]. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Key Stakeholders Global Head of Control Room Head, Global Risk Services Business Compliance and Country compliance teams Our Ideal Candidate Bachelor\'s degree, preferably in Business, Finance, Economics. Expert level MS Excel, MS Access database skills. Good working knowledge of MS Outlook, MS Word, MS Power point and Internet. Good communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff. 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. Pro-active and possess continuous improvement mindsets to improve compliance service. Good understanding in quality management process and quality measurement. Handle ad-hoc tasks or special assignment and to deliver as per timeline and expectation. Good data analysis and analytical skills. Role Specific Technical Competencies Manage Conduct Manage Risk Manage People Compliance Technical Competencies Compliance Policies and Standards Compliance Advisory Compliance Review and Assurance Surveillance Investigations Compliance Risk Assessment Regulatory Liaison Manage Change Manage Projects 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 , together with our brand promise, to be are achieved by how we each live our . 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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