Job Summary

•    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
•    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.
•    Proactively support and challenge 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.
•    Evaluate the effectiveness of the Group’s compliance efforts.
•    Support the management of the regulatory relationships with each of the regulators, whose rules the Group is subject to.
•    Maintain constructive and effective relationships with Business Heads/Business Chief Operating Officers (“COOs”), and assist relevant Compliance heads to interface with and support all key business stakeholders.
•    Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to Head, Regulatory and Conduct Risks & Oversight, HK.

•    Maintain independence, deliver timely responses, and timely escalation of risks and issues where they feel risk management tolerance of the firm are exceeded.

•    Drive interaction and escalation between Compliance teams in Hong Kong. Ensure that clear and structured flow of information between Country Compliance and Regional Compliance occurs on a regular and timely basis

Key Responsibilities

•    Provide HKMA and SFC licensing-related advisory (e.g. registration, competence and fit and proper requirements).
•    Liaise with business and other counterparts for arranging application and cessation in relation to HKMA Executive Officer & Relevant Individual/ SFC Responsible Officer & Licensed Representative. 
•    Assist to arrange appointment/cessation/change of senior regulatory appointments (including HKMA S72B Manager, Appointee under Management Accountability, SFC Managers-in-Charge).
•    Assist to file statutory notification in relation to corporate licensing.
•    Keep track on staff’s movement and change of personal particular to file necessary regulatory notification.
•    Maintain headcount database for regulated staff and perform weekly reconciliation. Share licensing data to other counterparts for MI purpose.
•    Keep track on licensed staff’s CPT completion status, formulate CPT report and ensure CPT records are properly retained.
•    Follow up on staff HKSI licensing examination status.
•    Monitor staff’s cross border travel and provide advisory on relevant cross boarder requirement. Arrange temporary HKMA Relevant Individual license for overseas staff if needed.
•    Assist in updating licensing related policy/ process documents. Propose enhancement to the current licensing process to reduce operational errors or increase efficiency.
•    Conduct compliance testing to identify compliance weakness.
•    Conduct annual Fit and Proper attestation for the regulated roles.
•    Handle ad-hoc projects and others tasks as assigned.
•    This role will move to first line upon business’ agreement.

Qualifications

•    Academic or Professional Education/Qualifications:  Bachelor in Law / Finance / Accounting / Business or related disciplines
•    Languages:  Fluent English and Cantonese both oral and written
•    Good analytical, reporting writing and methodical skills

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.