The specific role, based in Malaysia, will be focused on Investment Guidelines Compliance and Performance Measurement activities for all regions (i.e. APAC, MENA and HK). This role will report to the functional head of fund compliance in Malaysia and will be critical in supporting the global support function and the firm.
Key Responsibilities
Strategy
Awareness and understanding of the Group's business strategy and model appropriate to the role.
Contribute towards the future strategic direction and process innovation of Securities Services by keeping abreast of changes in customer needs, technology and business environment and taking pro-active steps to embrace and capitalize on these changes.
Support the roll-out of appropriate quality management systems and other initiatives by the Company/Group.
Business
To assist the Head Fiduciary Services to manage the operations of Fiduciary Services and Performance Measurement processes (where applicable), in ensuring consistent delivery of high quality services to customers and meeting objectives set by the Group using available resources allocated while maintaining operational risk to an accepted level.
To assist the Head Fiduciary Services in leading Fiduciary Services and Performance Measurement Team (where applicable) to achieve service quality by meeting / exceeding and set service standards and achieving zero defect for the Bank customers.
Processes
Post-trade alerts investigation in Charles River/Excel, proactive escalation and resolution
Preparation of Fund Performance Measurement Reports using Statpro (i.e. Allocation, Risk Analysis, Factsheets)
Oversight of testing of Charles River and Statpro Revolution
Client certifications / attestations
Partner with the team mates and ensure execution of the team's strategy
Understand and own the risks associated with the Fiduciary Services global team
Ensure procedure documents are up-to-date and team is following the process
Challenge the status quo and identify opportunities for process enhancements
Enhance existing compliance coding, and investigate / troubleshoot potential breaches when needed
Active participation in strategic projects and initiatives
Drive connectivity with other locations and partner with peers globally in each of the fiduciary services teams
Manage and track escalations on Fiduciary Services and Performance Measurement product
Champion diversity & inclusion
People & Talent
Ensure that all staff of the department continues to be equipped and developed with the necessary knowledge, skills and tools to achieve the required level of competency to facilitate them to perform their roles and responsibilities effectively, efficiently and accurately.
Risk Management
Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Policy, Group Sanction Policy and Escalation Procedure.
Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Prevention (MLP) Group Policy, Money Laundering & Suspicious Transaction Guidelines for Securities Services Management, Suspicious Money Laundering Transaction Reporting Procedures and / or Monitoring Checklist, and Escalation Procedure for Suspicious Money Laundering Transactions.
Ensure due care and diligence is exercised on day to day operational matters relating to Money Laundering and KYC, acquiring relevant knowledge and training; thus, providing support to superiors and subordinates.
Conforming and adhering to the Team's risk profile, by following the guidelines / policies / procedures stipulated for Operation Losses, Escalation Procedures, Securities Services Policies, etc.
Ensure that control and security policies / procedures governing all processes in the department are in place, implemented and reviewed (as and when necessary) and to ensure that these policies / procedure not only continue to be relevant and effective in mitigating risk, but also supports the need for high operational efficiency and excellent customer service.
Key Control Standards Assessment within department with nil over dues.
Follow up on corrective/ preventive actions to a point where concerns arising from these findings are addressed to a satisfactory level.
Ensure awareness and full compliance of all laid down rules, regulations, policies, (including Sanctions Policy) guidelines, procedures, practices and code of conduct imposed by the Company/Group.
No major adverse findings from internal auditors or external auditors including quality audits.
Governance
Responsibilities relating to the direction, planning, structure, frameworks (e.g. processes and policies) and oversight. For example, Responsible for assessing the effectiveness of the Group's arrangements to deliver effective governance, oversight and controls in the business and, if necessary, oversee changes in these areas; Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role
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.
Lead to achieve the outcomes set out in the Bank's Conduct Principles
Key stakeholders
Key relationships include:
Head, Transaction Banking Operations GBS MY.
Securities Services GBSMY - Staffs all level.
Standard Chartered Bank various countries.
GBS various internal department.
Securities Services GBS India.
Countries respective Regulator, Depository, Central Bank, etc
For
Reporting, approvals, directions, policies, referrals, discussions relating to operational issues.
Referrals & discussions on systems-related issues.
Referrals & discussions on HR-related matters.
Referrals & discussions on processing-related issues.
Clients Lien Accounts & IB Accounts
Foreign Exchange related matters
Payments
System Support
Vendor Management
Skills and Experience
5-7 years of significant banking operational experience
Proven track record in managing local stakeholders
Experience of active participation in improvement initiatives such as system update projects etc
Client centric focus with a deep understanding of client intent
Experience of working in the investment management industry and of investment products preferred
Experience of coding in SQL preferred
Comfortable working across multiple functions, geographies and stakeholders with maturity and judgement
A strong drive, sense of ownership and sense of urgency
Role Specific Technical Competencies
Multifonds Accounting System
Charles River Investment Management Solution
Fund Accounting knowledge/experiences
Banking/Finance/Audit
Compliance Monitoring
Performance Measurement
Fiduciary Services
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 170 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
Are better together,
we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
What we offer
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 leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along 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.
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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.
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