Senior Manager, Compliance Monitoring
Job Description
Requisition Number:
54951
Job Location:
Global Grade:
Band 6
Work Type:
Office Working
Employment Type:
Permanent
Posting Start Date:
05/06/2026
Posting End Date:
26/06/2026
Job Description:
Job Summary
- This role reports directly to the Head of Fiduciary Services Operations and plays a vital role in supporting global operations and efficiency initiatives within the firm.
- This position involves gathering business requirements, analyzing workflows, identifying key data points, calculating efficiency gains, and facilitating the implementation of solutions to improve the post-trade compliance process.
- It includes overseeing production, reviewing, and validating post-trade compliance reports with fund managers, such as substantial shareholding and client-specific reports.
- The role requires investigating post-trade compliance exceptions, proactively escalating issues, and ensuring timely resolution.
- Supporting the Head of Fiduciary Services in monitoring the team’s individual performance against objectives, providing appropriate support, motivation, and guidance to help staff meet their goals is essential. The role also contributes to associate development through coaching, mentoring, and support.
- Conduct daily, weekly, and periodic compliance checks to confirm adherence to regulatory requirements, including investment and borrowing limits, liquidity and leverage rules, concentration limits, and reporting deadlines.
- Monitor compliance with fund prospectuses, offering documents, investment management agreements, and side letters.
- Perform pre- and post-trade investment guideline monitoring, covering issuer limits, sector and industry caps, counterparty risk, and ESG restrictions.
- Investigate post-trade alerts using Charles River and Excel, manage escalations, and provide resolutions.
- Prepare Fund Performance Measurement Reports using Statpro, including allocation, risk analysis, and factsheets.
- Identify, investigate, and document compliance breaches and rule exceptions.
- Coordinate with relevant stakeholders to conduct root-cause analyses and define corrective and remedial actions.
- Escalate significant issues to management, fund boards, and regulators as required, following established escalation procedures.
- Understand and take responsibility for risks associated with the Fiduciary Services global team.
- Contribute to designing, implementing, and continuously improving the compliance monitoring framework, incorporating automated rules and manual checks.
- Assist in maintaining and updating compliance policies, procedures, and monitoring programs to reflect regulatory changes and industry best practices.
- Support risk-based and thematic reviews to evaluate the effectiveness of controls across the fund services business.
- Prepare regular compliance monitoring reports, dashboards, and key risk indicators for senior management, fund boards, and internal governance committees.
- Maintain accurate records and audit trails of all monitoring activities, breaches, and remediation efforts.
- Support internal and external audits, regulatory inspections, and board reporting requirements.
- Enhance existing compliance coding and investigate or troubleshoot potential breaches when necessary.
- Promote connectivity with other locations and collaborate with peers globally across fiduciary services teams.
- Oversee direction, planning, structure, frameworks (such as processes and policies), and governance. This includes assessing the effectiveness of the Group’s governance, oversight, and control arrangements and managing changes as needed.
- Maintain awareness and understanding of the regulatory framework governing the Group and ensure compliance with relevant regulatory requirements and expectations.
Skills and Experience
- At least 10 years relevant business/financial experience, preferably in the financial services/investment or asset management industry and of investment products.
- Investment Compliance Experience and Charles River Development (CRD) Expertise
- Experience of active participation in projects, working with CRD for rules coding, SQL and reporting.
- Familiarity with data mapping, system interface or system integration, report building.
- Experience in business analysis including requirements gathering, process mapping, gap analysis and solution design.
- Excellent communication and senior stakeholder management skills with the ability to work effectively with business and technical teams from multiple geographies.
- Familiarity with investment regulations (i.e. UCITS, HK SFC, CIS Code, etc.)
- Preferably with experience in developing, managing and refining BRD and strategy papers.
- Excellent organizational skills and the ability to multitask and delegate effectively.
- Outstanding interpersonal, written and verbal communication skills.
- Good problem solving and analytical skills.
- Ability to self manage workloads and deliver high quality output within tight deadlines.
- Experience in Team Management and Leadership.
Qualifications
- A bachelor's degree (preferably in Accounting, Banking or Finance).
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.
- 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.
Information at a Glance
