Job Summary

The role leads a team of 4 control specialists responsible for the execution of surveillance, monitoring, exception management, and control oversight activities across suitability, conduct, and operational risk.
As team leader, the role is accountable for reviewing and enhancing the overall control framework, re-examining the underlying regulatory and policy baseline, rationalising overlapping controls, addressing control gaps, and driving greater consistency of controls, methodologies, and reporting across locations.
The role provides strategic direction, governance oversight, and subject matter leadership to ensure the control environment remains effective, risk-based, and aligned with evolving business and regulatory requirements while promoting fair client outcomes and strong conduct standards.

Key Responsibilities

Sales & Transaction Surveillance
•    Oversee frontline surveillance, including voice logs and suitability assessments, against internal policies, regulatory requirements and conduct standards.
•    Guide and challenge investigations into inappropriate sales, cross-border breaches, suspicious activities and fraud indicators; ensure timely escalation and remediation.
•    Oversee exception reports and alerts, including missing documentation, guideline breaches and suitability mismatches; maintain evidence and track issues to closure.

Control Framework & Continuous Improvement
•    Review and enhance the control framework, re-examine regulatory and policy requirements, rationalise overlapping controls and address gaps.
•    Drive consistent risk-based controls, methodologies and reporting across locations.
•    Lead trend and root cause analysis to identify emerging risks and drive targeted remediation, process improvements and frontline training.

Governance, Risk & Business Conduct
•    Prepare and present management information to local and Group governance forums, highlighting risks, control outcomes, trends and remediation.
•    Support regulatory inspections and enquiries, including HKMA reviews, thematic reviews, risk assessments and incident investigations.
•    Embed the Group’s Values and Code of Conduct; identify, escalate, mitigate and resolve risk, conduct and compliance matters collaboratively.
•    Promote fair client outcomes, effective financial markets, financial crime compliance and the right working environment.

Stakeholder Partnership & Change Delivery
•    Partner with Suitability and Order Taking Process Owners, Compliance, Risk, Product and Operations to implement regulatory changes and enhance or streamline controls.
•    Support Private Banking projects and remediation programmes, embedding control design and risk considerations throughout implementation.
•    Engage Private Banking leadership, business planning, Banking and Wealth Operations, Wealth Management, Legal, frontline teams and second- and third-line functions.

Training & Subject Matter Support
•    Lead training and awareness programmes to strengthen frontline understanding of suitability, conduct and control requirements.
•    Communicate regulatory, policy and control changes promptly.
•    Provide subject matter guidance on suitability and controls, including interpretation and good practices.
•    Embed the Bank’s brand and values and fulfil responsibilities assigned under applicable policies and procedures.

People and Talent
•    Lead a team of 4 control specialists responsible for surveillance, monitoring, exception management, and control oversight across suitability, conduct, and operational risk.
•    Provide strategic direction, governance oversight, and subject matter leadership to maintain an effective, risk-based control environment aligned with evolving business and regulatory requirements.

Skills and Experience

Priority Skills    
•    Governance, Risk, and Compliance (GRC)
•    Suitability and Conduct Risk Management
•    Sales and Transaction Surveillance
•    Control Framework Design and Assurance
•    Exception Investigation and Root Cause Analysis
•    Private Banking Products and Processes
Other Skills    
•    Management Information and Risk Reporting
•    Continuous Improvement
•    Stakeholder Engagement
•    Training and Knowledge Sharing
•    Strategy Development
•    People Leadership and Talent Development

Qualifications

•    Degree holder with 3–5 years of solid experience in banking operations and risk control, preferably in Finance, Wealth Management, Risk Management or a related discipline.
•    Relevant financial services experience, preferably in Private Banking, Wealth Management or first-line risk and control, with a sound understanding of Private Banking products and associated risks.
•    Strong analytical and problem-solving skills, including assessing issues, prioritising actions, implementing controls and working independently.
•    Detail-oriented, mature, and well-organised, demonstrating a strong sense of ownership, accountability, and control mindset.
•    Effective communication and constructive engagement with frontline and control stakeholders; strong written and spoken English and Chinese.
•    Proficiency in Microsoft Excel, PowerPoint and Word to produce clear analysis and management information.

About Standard Chartered

We're a global bank connecting clients to our differentiated network, offering growth opportunities in the world's most dynamic markets. Our strategy, which combines cross-border capabilities and leading wealth management expertise, helps us deliver our purpose - to drive commerce and prosperity through our unique diversity.

Over our 170-year history, and across a unique geographical footprint connecting Asia, Africa and the Middle East to each other and the world, we've built a bank like no other, with diverse capabilities and partnerships that set us apart.

What We Offer

• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions, and geographies.
• 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 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.

Visit our careers website to learn more about us: www.sc.com/careers.