About Standard Chartered We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
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We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities
The role holder is jointly accountable to the Global Head of Compliance, Private-Side and the relevant Regional Head of CCIB Compliance for:
Business Compliance Management Representation
- Act as the overall Compliance lead for the Corporate Finance (CF), Principal Finance (PF), Capital Markets (CM), Capital Structuring & Distribution Group (CSDG) Credit Portfolio Management (CPM) and Global Research businesses (together "the Regional and Country Private-Side Businesses") as they operate in GCNA.
- Act as the regional lead for provision of expert Compliance advice to the Regional and Country Private-side Businesses, in liaison with relevant country-based colleagues as deemed relevant and necessary.
- Act as the coordinator of expert advice on Control Room policies and procedures to all colleagues (whether Business, Governance or Function, including Compliance colleagues) located in GCNA.
- Responsibility for managing (directly or through team) the vast majority of questions, issues, advice and training as they pertain to Private-Side Businesses and Control Room advisory services in the region and its constituent countries . This includes playing roles in established processes such as DCC, Preliminary Deal Reviews (PDR) and Corporate Finance Preliminary Screening Reviews (PSR), credit portfolio monitoring processes, etc.
- Escalations and other relevant notifications should be made to the joint line managers as deemed necessary. The role-holder should also build close working relationships with the Global Head, Compliance, CF, PF and Transactional Conflicts, and the Global Head, Compliance, Control Room, as the role will be jointly responsible with them for driving their policies, standards and frameworks into the region and its constituent countries.
- Play the second line Risk Framework Owner role with respect to Compliance, Conduct and FCC risks in the local process universes of the Private-Side Businesses in GCNA.
- Taking the lead from the Global risk and control governance frameworks and Process Universes for the Private-Side Businesses, as Compliance and Conduct risk subject matter expert, drive sound governance based on risk identification and rating, policies, standards, processes, controls (preventive, detective and directive) and the correct levels of monitoring and assurance into the region and its constituent countries.
- Proactively collaborate with the Compliance Assurance team and Country-based compliance colleagues to plan and execute specific review and other risk identification and rating exercises in order to proactively identify risks (under the Compliance, Conduct and FCC Risk Frameworks) specific to the Private Side businesses.
- Work with Compliance & other FCC colleagues in countries pursuant to relevant regulatory handling processes to implement local regulations, as they impact on the Process Universes of the Private-Side Businesses, and/or where Private-Side Compliance (including the Control Room) is the relevant Risk Owner.
- The responsibilities herein will require extensive work with Country-based Compliance colleagues, with the specific teams varying according to the country Compliance resourcing model. This will likely involve assessment of Group policies and standards, and global processes, and where necessary taking the appropriate steps from the second line (or first line with respect to Control Room processes) to implement material local variations. Depending on application of a stricter- (or less stringent) control standard, this will require securing the necessary group and country approvals and/or notifications.
- Act under delegated authority to accept Medium level risks based on action/treatment plans, and recommend to senior Compliance management the acceptance of High or Very High risks, with respect to the CF and PF businesses. Ensure that where risks are outside of appetite, the root cause is determined and addressed.
2. Leadership - Act as the principal point of senior Compliance contact for the Regional and Country Private-Side Businesses in GCNA , engaging (and where needed challenging) effectively with the Business and/or Country heads and COO community.
- Join up the Regional Private-Side Compliance function with Regional, Country, Business & Functions Advisory (BFA) Compliance and FCC teams as necessary, and the wider Risk & Compliance function. This includes, but is not limited to, the Central Compliance team and its work programmes (with a particular focus on driving an effective Risk Assessment, and implementing locally robust policies and standards in line with the Enterprise Risk Management framework), Global Regulatory Reform, Reputational Risk Management and Operational Risk.
- Engage effectively with important collaboration support and control partners including Risk, Group Internal Audit, Legal, SIS, HR and Finance.
- Through effective hiring, management, coaching, mentoring, role-modelling and delegation, equip the Regional Private-Side Compliance team with the necessary technical, professional and managerial skills to enable a strong performance culture, and build a pipeline of future talent for the Compliance function, with a focus on immediate succession.
- Lead or influence significant programmes of work in the Group in support of the Group's Compliance, Conduct and FCC objectives. At times this will involve BFA Compliance & FCC wide work, or beyond.
Key Stakeholders - Regional Head, Corporate Finance. GCNA - Regional Head, Principal Finance, GCNA - Regional Head of Capital Markets, GCNA - - Credit & Portfolio Management, GCNA - Other senior CCIB Business Heads in Region and Country - Regional Heads of Private-Side Compliance - Business and Geographic COOs - Regional and Country Heads of Compliance - Senior members of Risk, GCNA - Group Operational Risk - Group Internal Audit - Country regulators (as deemed necessary through invitation by relevant Country Head of Compliance)
Apply now to join the Bank for those with big career ambitions.
Internal Number: 6469935
About Standard Chartered Bank
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