Job Description

The Role Responsibilities Job Role The CFCC Control Room owns the Group Transactional Conflicts and Information Walls Standard (TCIW), Group Personal Account Dealing Standard (PAD), Group Outside Business Activities Standard (OBA), Group Close Financial Relationships Standard (CFR) and External Employee Connections Standard (EEC) which set out procedures for transactional conflicts clearance and employee declarations required 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. Key Responsibilities 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. Help in acting as an independent second line risk control function, execute the relevant aspects of the Compliance framework 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 business. Help in proactively supporting and challenging 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. Assist in evaluation of the effectiveness of the Group\'s compliance efforts. Maintain constructive and effective relationships with the relevant Business Heads, Chief Operating Officers (COOs), and other functional stakeholders, and assist Regional Compliance, Control Room and other relevant Compliance teams to interface with and support such stakeholders. Assist in challenging and highlighting transactional conflicts of interest for Global Credit Markets business teams including Financing Solutions, Financing Risk, Leveraged and Acquisition Finance (LAF), Capital Markets and other businesses of the Bank and help build effective controls in managing and escalating transactional conflicts of interests. Maintain independence, deliver timely responses, and escalate risks and issues on a timely basis where they feel risk management tolerance of the firm are being challenged or exceeded. Strategy Support and implement the vision, strategy, direction and leadership for CFCC for Global Credit Markets and other businesses, consistent with the 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 compliance 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. Business 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 regulatory compliance advice and guidance to enable the business and functions to meet / achieve their strategic tactical objectives. Provide robust challenge to all relevant business stakeholders where activities are outside of the 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 the business to provide timely compliance advice to ensure compliance with all relevant laws and regulations and policies and standards, support the transition to pro-active and pre-emptive compliance and conduct risk mitigation. Processes Establish and maintain effective processes (including training, advice and support) to ensure that policies, procedures and standards to address compliance risks (excluding financial crime) are effectively implemented and adhered to across Global Credit Markets and other businesses. Provide support and challenge to the Bank\'s senior management 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). People and Talent Good presentation skills, 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. Drive performance in compliance service delivery with highest quality of service. Assist Process Owner to establish, govern and maintain work processes to drive service performance. Risk Management Ensure effective management of compliance matters, and in collaboration with the rest of the Compliance team, effectively manage regulatory issues that have a significant impact on the Bank. Collaborate with the other Products CFCC teams and the Compliance Management Group 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. In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Bank and relevant regulators 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 Shared Investigative Services (SIS) and Surveillance and Monitoring teams in relation to investigations and breaches concerning the relevant businesses. Ensure global standards are understood and implemented, with any identified exceptions, or need for more / less stringent standards escalated to senior CFCC Compliance Management for joint decision-making. 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. Governance Within the Group\'s overall Risk Management Framework, establish and maintain appropriate risk based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across the relevant businesses. Help to Develop and assist in recommendation (for approval by the relevant Risk Committee), appropriate compliance policies and procedures. Ensure appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements. 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. Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters. Key Stakeholders Global Credit Markets business teams including Financing Solutions, Financing Risk, Leveraged and Acquisition Finance (LAF) and Capital Markets Legal teams for the above businesses CCIB Client Coverage Credit and Portfolio Management Group Corporate Development and Strategy SC Ventures Group Internal Audit Other Responsibilities Embed Here for good and Group\'s brand and values in Global Credit Markets and other business teams. Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures. Our Ideal Candidate At least 3 years of work experience in the financial industry, preferably in compliance or other risk and control functions or in transaction related roles, in the Control Room or relating to the management of conflicts. Banking knowledge in terms of customers, products, transactions and operations. Excellent communication skill both articulation and writing. Good attention to detail and 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. Data and analysis skills: able to manage data exceptions and analyse trends and out of pattern activities, working knowledge of the Internet and MS Office Suite and independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action (e.g. case closure or escalation) and record and communicate this decision clearly and concisely. Role Specific Technical Competencies Manage Risk Manage People Compliance Policies and Standards Compliance Advisory Investigations Manage Change 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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