Job Summary

The Compliance Control Room owns the Group Personal Account Dealing (“PAD”) Procedures, the Group Outside Business Activities (“OBA”), Transactional Conflicts & information Walls (“TCIW”) and other Employee Declarations Procedures. The purpose of these procedures are 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. These procedures specifically address any potential conflicts of interest that may arise where employees handle reportable event/sensitive information, conduct personal account dealing, hold outside business activities apart from their job function and duties with the Group

Key Responsibilities

Group Standard Compliance Performance
•    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’s policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters
•    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
•    Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm
•    Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Business Delivery and Performance
•    Review/Approve requests in accordance with SCB Group’s policies related to personal account dealing, outside business activities, Transactions Conflicts & Information Walls and other Employee Declarations
•    Respond to ad-hoc employee queries (via telephone, meeting and email) regarding personal account dealing, Transactions Conflicts & Information Walls, outside business activities and other employee declarations based upon the department operations instructions manual.   
•    Responsible for annual attestation of control room processes.
•    Create various management information reports related to various Control Room processes.

•    Provide support to remedial activities (including nature, scale and rigour of past business reviews), transitional investigations and breach assessment.
•    Responsible for assisting the Core Control Room globally on administrative/clearance tasks.
•    Assist with policy, procedure, and strategic initiatives within the Compliance Control Room work relating to Personal Account Dealing, Outside Business Activities, Transactions Conflicts & Information Walls and other Declarations matters.
•    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.
Accountability
•    Support the Team Manager in performing second level control checks on the PAD, OBA, TCIW and other Declaration processes, approved by the ORF.
•    Support the Team Manager in process improvement and control review initiatives for the Compliance Control Room processes.
•    Escalate any potential Control Room BAU systems issues to the System Support team
•    Support the Core Control Room in performing required User Acceptance Testing and User Verification Testing for all Control Room BAU systems enhancements and defect fixes.
•    Assume SME/Lead role in certain sub-processes.
Communicate and Collaborate
•    Support effective and timely communication along with collaboration cutting through functions and business

Agility in Strategic Change Management
•    Not Applicable
Business
•    GSF Compliance Control room
Processes
•    CFCC Control Room processes 
People & 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
•    People/Team leading, coaching and as deputy to team manager in service delivery & management. 
•    Drive performance in compliance service delivery with highest quality of service.
•    Assist Process owner to establish, govern & maintain work processes to drive service performance
Risk Management
•    In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance for compliance control room related matters.
•    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.
•    Assist and work closely with Group Investigations (GI) in relation to investigations concerning compliance control room related matters.

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 the [Malaysia / CFCR Control Room] to achieve the outcomes set out in the Bank’s 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
•    Global Head of Control room
•    Head, Global Risk Services
•    Business Compliance and Country compliance teams.

Skills and Experience

•    Manage Conduct
•    Manage Risk
•    Manage People
•    Compliance Technical Competencies
•    Compliance Policies and Standards 
•    Compliance Advisory
•    Compliance Review and Assurance
•    Surveillance
•    Investigations
•    Compliance Risk Assessment
•    Regulatory Liaison
•    Manage Change
•    Manage Projects

Qualifications

General Qualifications:
•    Bachelor’s degree, preferably in business, finance, economics   
•    Minimum 4 years’ experience in compliance, risk management, or regulatory related function in the financial services industry or securities operations with good understanding of securities settlement in multi-markets, knowledge in Forex, derivatives and structured products will also be considered.
•    Excellent working knowledge level MS Excel and MS Outlook, MS Word, MS Power point and Internet.
•    Basic understanding of MS Access – Running queries and query modifications 
•    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.

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.