Key Responsibilities

• Focal point for all Regulatory interactions of specific area during onsite and off-site inspection.
• Maintain RBI relationship, monitor regulatory approvals, facilitate regulatory engagements, ensure compliance with relationship with regulators standards, build relationships with other regulators
• Maintain and track regulatory commitments
• To coordinate with RBI, seek clarification and liaise with business stakeholders, track responses and escalate as and when required.
• Ensure timelines are met for RBS submissions (Standard List of Documents)
• Support country projects (Advisor Connect, etc)
• Assist in building easy and efficient automated solution to bring efficiencies in the processes
• Maintain DOIs for the processes handled
• As the UORM for Compliance highlight the operational risk issue within compliance
• Host the monthly FORF meetings to discuss and agree action plans, discuss forward looking risks.
• Ensure timely raising of issues in M7 and Issuepoint, Breach reporting
• Send various updates to CMT /CNFRC/CRC / Region, presentation decks for senior management visits
• Update / review country addendums, local policies such as Compliance policy, Records Management policy etc
• Support in deciding Residual Risk Assessment.
• Compliance approvals for data access
• Gift and Entertainment Champion
• Business Continuity Planning SPOC

Business
• Ensure that key changes (to regulatory laws, rules, regulations) are communicated and cascaded (in country) and is aligned with group communications where relevant.
• Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, regulations, laws, best practices and policies related to CFCC
• Finance Advisory
• Act as the Secretariat for FORF, RMCB, SCBMF and CFCRC meetings
• Group Risk Assessment (FCC)

Processes
• Develop, keep up to date and recommend for approval to the relevant Risk Committee, appropriate policies/processes/DOls to address CFCC, aligning with relevant regulatory requirements.
• Ensure the Bank is properly prepared for regulatory inspections and coordinating responses with the business.
• Providing governance and oversight over the implementation of CFCC related policies and procedures in Country to ensure compliance with such policies and procedures.

People & Talent
• Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
• To collaborate and build appropriate Compliance culture within the team and with Business stakeholders.

Risk Management
• Maintain oversight of risk mitigating action plans.
• Provide advice on the application of risk management frameworks (e.g. ORF, GRA).
• Apply Group and CFCC policies and processes to manage risks. 

Governance 
• Attend relevant leadership meetings.
• Provide oversight of Country CFCC function.
• Lead, Support or Influence significant programmes of work in the CFCC initiatives and projects.
• Proactively drive the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment.

Regulatory & Business Conduct
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Support relevant stakeholders to respond to regulatory questions

Key stakeholders
• Regulators, Internal Senior and other stakeholders across various functions, units and departments.

Other Responsibilities
• Embed Here for good and Group's brand and values in the CFCC Governance team.
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Key stakeholders
• Internal
Region CFCC; Group CFCC; Business; GIA; GBS

• External
RBI; Auditors

Qualifications

Graduate/Post Graduate; Minimum 10 years of Banking/Compliance Experience

Skills and Experience

• Compliance Policies and Standards
• Compliance Advisory
• Compliance Review and FCC 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.