Job Description

Role Responsibilities

Business*

• Awareness and understanding of various market abuse regulations globally in which the Group operates
• Understanding the Group\xe2\x80\x99s business strategy as well as Compliance mandate in supporting the business
• Understanding booking practices and models to implement and enhance surveillance in the department

Processes*

• Engage in conversations with stakeholders from FM Surveillance, Information Barriers, Sales and Suitability and Communication Surveillance on remediation of issues, new change requests and improvements to platforms like Delta Surveillance, SMARTS, Digital Reasoning, etc.
• Bring forward requirements from monitoring team to tech, change management and vendor teams to relay the above requirements and overview their implementation, working as the main facilitation focal between the teams.
• Participate in various technology projects and involvements in requirements specifications, prioritization, UAT, etc.
• Pro-active identification of risks and concerns, including escalation to all relevant stakeholders
• Timely mitigation and resolution of risks and issues, establishments of effective controls, in collaboration with all relevant stakeholders.

Risk Management*

• Identify key issues of the workstreams assigned and work towards resolving, if not escalating where required
• Collaborate with other teams to ensure risks are comprehensively identified, assessed and managed.
• 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
• 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.

Governance *

• 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

. * 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 [country / business unit / function/[team] to achieve the outcomes set out in the Bank\xe2\x80\x99s 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*

• Other teams within Compliance Surveillance: Monitoring, Controls, Data Quality and Projects
• Other functions within the wider Compliance function eg. Advisory, Assurance
• Business / Front Office

Other Responsibilities*

• 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
• Embed \xe2\x80\x98Here for Good\xe2\x80\x99 and Group\xe2\x80\x99s purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
• Support the delivery of key priorities and initiatives aligned to the Surveillance Compliance scorecard
• Keeping people advised about important developments that may affect them and how they work.
• Continually raising the bar on standards of performance.
• Taking ownership of issues and be willing to work across organizational boundaries and structures i.e. horizontally and vertically.
• Taking a bigger picture view \xe2\x80\x93 what delivers the best overall benefit for the team or the Bank.
• Identifying ways in which automation can be achieved to reduce manual effort and errors.
• Be updated on the latest developments in the regulatory technology space.

Our Ideal Candidate

• Data and analytical skills

Collaboration
Financial Markets (products, trade booking models, trade life cycle)
Project Management
Manage Change
Agile / Scrum
Problem solving

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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