Job Summary

We are looking for a motivated Executive to join our team, focusing on performing sales surveillance exercises, to also assist in licensing work and administrative support. The ideal candidate will play a key role to support the governance and oversight of sales practices for wealth management products, ensuring compliance with regulatory standards, internal policies, etc.

Key Responsibilities

Strategy

• Execute control measures to mitigate risks and enhance sales governance.
• Contribute to the development and refinement of the sales surveillance framework.

Business

• Broaden awareness and understanding of the wider business, economic and market environment (in Sales Governance and Licensing area) in which the Group operates

Processes

• Assist to keep internal guidelines/ procedures updated in response to the Regulatory / Group guideline 

Risk Management

• Report and liaise with key stakeholders on solving ad-hoc surveillance-related matters when it is needed.
• Assist in conducting comprehensive risk analyses to inform decision-making and strategic planning to drive quality and complied sales deliver

Governance

• Assist in developing and implementing robust sales assurance activities to ensure compliance and transparency.
• Contribute to policy reviews and enhancements by sharing surveillance insights.
• Organize Continuing Professional Development (CPD)/ CPT classes for staff to ensure they meet ongoing licensing requirements.
• Issue regular reports (e.g. license status report, CPD/ CPT completion status report etc.) for reconciliation purposes, identifying discrepancies and ensuring timely resolution.
• Prepare presentation materials, MI reports for stakeholders, summarizing key findings and risk analyses for learning and action.

Skills and Experience

• Education : Bachelor’s degree in Business Administration, Finance, or a related field; or equivalent work experience.
• Language : English, Cantonese, Mandarin

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.