Job Summary

The position is for Managed Services support for the GB, SPM and M&A CFCR team which provides  CFCR Group coverage for Global Banking (GB), Syndicate and Portfolio Management (SPM) and Mergers & Acquisitions Advisory (M&A Advisory) businesses of CIB, and CFCR coverage to Global Lending Services (GLS) and the Banking Operations units of Transaction Management Group, Loans and Agency Operations and Lending Operations Units, . It requires clear understanding Compliance, Financial Crime and Conduct Risk (CFCR) Policies and Standards and Guidelines and requirements as applicable to these business. The role also requires good understanding of CIB businesses of GB, M&A and SPM. 

Key Responsibilities

Strategy
•    Support and implement the vision, strategy, direction and leadership for Compliance, Financial Crime and Conduct Risk (CFCR) for GB, SPM and M&A Advisory and GLS and the Banking Operations units of Transaction Management Group, Loans and Agency Operations and Lending Operations Units consistent with Global Head, CFCR, GB, and SPM and Markets Asia (Global Head) vision and strategy for the CFCR function and in support of the Bank’s strategic direction and growth aspirations.
•    Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.

Business

•    Support the GB, SPM and M&A CFCR team in providing timely, responsive and quality regulatory compliance advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives. 
•    Support the GB, SPM and M&A CFCR team in providing regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.
•    Support the GB, SPM and M&A CFCR team in providing robust challenge to all relevant business stakeholders where activities are outside risk tolerance appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance/ appetite.
•    Work closely with the business to provide timely compliance advice to ensure compliance with all relevant laws and regulations and policies and standards, support the transition to pro-active and pre-emptive compliance and conduct risk mitigation.

Processes
•    Support the GB, SPM and M&A CFCR  team in establishing maintaining effective processes (including training, advice and support) to ensure that policies, and standards to address compliance, financial crime and conduct risks  are effectively implemented and adhered to across GB, SPM and M&A businesses, GLS and Banking Operations.
•    Provide support and challenge to the Bank’s senior management to ensure that they establish and monitor appropriate processes for compliance with CFCR policies and standards (including meeting regulatory obligations and maintaining high standards of conduct).
•    Manage documentation and MI for Banking NFRC, conduct forum, supervisory attestation, surveillance alerts, etc. 
•    Support the GB, SPM and M&A CFCR team in review of Operational Risk Events, Material Risk Events and near misses for potential for CFCR review.

Risk Management
•    Support GB, SPM and M&A CFCR in its role as Risk Owner delegate under the Group’s Risk Management Framework for Global GB and SPM processes where Compliance is the second line Risk Owner.
•    Support the GB, SPM and M&A CFCR team in ensuring effective management of compliance matters, and, effectively manage regulatory issues that have a significant impact on the Bank, to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
•    Support the GB, SPM and M&A CFCR team in proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform. Assist and work closely with Shared Investigative Services (SIS) and Surveillance and Monitoring teams in relation to investigations and breaches concerning the GB, SPM and M&A businesses. 
•    Support the GB, SPM and M&A CFCR team in ensuring global standards are understood and implemented, with any identified exceptions, or need for more/less stringent standards escalated to senior CFCR Management for joint decision-making.
•    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.
•    Assist the GB, SPM and M&A CFCR team in managing Operational Risk process for GB, SPM, M&A businesses and , GLS and Banking Operations covering where CFCR is the risk owner for Compliance and Financial Crime Risk sub-types.

Governance 
•    Within the Group's overall Risk Management Framework, support the GB, SPM and M&A Advisory, GLS and Banking Operations teams in establishing and maintaining appropriate risk based compliance frameworks for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across GB and SPM.
•    Help to Develop and assist in recommendation (for approval by the relevant Risk Committee), appropriate compliance policies and standards.
•    Support the GB, SPM and M&A CFCR  team in ensuring appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements.
•    Assist in preparation of Compliance, Financial Crime and Conduct papers for GB and SPM NFRC,  Management Team Meetings and another senior stakeholders meeting.
•    Assist in drafting and maintaining Standards, Manuals, Guidance and other notes to GB, SPM amd M&A Advisory businesses covering CFCR 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.
•    Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders
•    GB and SPM Business teams
•    M&A Business teams
•    Global Lending Services
•    Transaction Management Group
•    Loans & Agency Operations
•    Loan Documentation Unit
•    GB and SPM COO Team
•    M&A / Coverage COO Team
•    Group Legal Team
•    Group Internal Audit
•    Group Operational Risk
•    Group CFCR Function
•    Country CFCR
•    Group Control Room
•    GB and SPM CFCR 
•    Professional Services

Other Responsibilities
•    Embed Here for good and Group’s brand and values.  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 Help in acting as an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business. Help in proactively supporting and challenging the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group’s clients. Assist in evaluation of the effectiveness of the Group’s compliance efforts. Maintain constructive and effective relationships with the relevant Business Heads, Chief Operating Officers (“COOs”), and other functional stakeholders, and assist Cluster CFCR, Control Room and other relevant CFCR teams to interface with and support such stakeholders. Assist in challenging and highlighting Transactional Conflicts of Interest for GB, SPM, M&A Advisory and other businesses of the Bank and help build effective controls in managing and escalating transactional conflicts of interests. Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.  Assisting and advising GB, and SPM businesses on Financial Crime Compliance matters after appropriate consultation with senior CFCR members.
•    Escalate and track Financial Crime issues and provide MIs to senior CFCR management.  Assisting and advising GB, SPM and M&A Advisory businesses, GLS and Banking Operations on Conduct Compliance matters after appropriate consultation with senior CFCR members.
•    Escalate and track GB, SPM and M&A Advisory Conduct issues and provide MIS to senior CFCR management. Work with SIS and Surveillance Team in advising on and ensuring closure of Conduct breaches with Fair Outcome for the Bank. Coordinate with GB, SPM and M&A COO teams on monitoring conduct breaches and escalating to business and assist them in preparation of Agenda and MI for Supervisory Conduct Forum meetings.

Skills and Experience

•    Manage Conduct
•    Manage Risk
•    Manage People
•    Compliance Policies and Standards
•    Compliance Advisory
•    Compliance Review and Assurance
•    Surveillance (including Screening and Monitoring)
•    Investigations
•    Compliance Risk Assessment
•    Regulatory Liaison
•    Manage Change
•    Manage Projects 

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.