Key Responsibilities

Processes
Regulatory and Group Guideline Compliance
•    Cascade and guide stakeholders on the regulatory and group guideline requirement
•    Conduct regulatory and group guideline gap analysis to identify gap, establish process/controls to adhere to requirements; as well as ensuring action plans are in place and follow through 
•    Oversee the regulatory compliance and adherence to Group guideline for the business unit, in which dispensation/ deviation/mitigating controls are formulated

Regulatory Advisory
•    Provide support and guidance pertaining to regulations on new business initiatives/ digitisation/ platform, board paper preparation etc
•    Coordinate regulatory related survey/feedback/queries

Sales governance 
•    Ad hoc review/quality review on transactions/complaints/ additional controls implemented
•    Coordination of mystery shopping exercises (inclusive of questionnaire development, onboarding, validation of result/report, critical non-compliance remediation tracking action plan /follow up, reporting)
•    Review and provide support from risk and governance perspective -Post Implementation Review, New Non-Face to Face channel/ platform etc

Committee Governance and reporting
•    Facilitate product and risk governance forums which include business metrics monitoring, issues tabling and monitoring of follow up actions

Implementation of Group/ country level initiatives
•    Coordinate and support the roll out of group/country level initiatives across WM / WM COO office (eg. Group reporting, report automation, activity optimization etc)

Risk Management
•    Support business and work together with Business Risk Manager on internal incident/ breach report, Op loss, risk incident report by engaging appropriate stakeholders to ensure timely remedial actions; escalate key risk situations that pose significant risk 
•    Support the roll out of processes and controls for WM emerging risks
•    Conduct risk - provide input / guidance into conduct plan & implement on behalf of business, preparation of conduct townhall content to ensure business units are aware of the Group Standards/requirement

Governance
•    Cascade and guide stakeholders on the regulatory and group guideline requirement
•    Conduct regulatory and group guideline gap analysis to identify gap, establish process/controls to adhere to requirements; as well as ensuring action plans are in place and follow through 
•    Oversee the regulatory compliance and adherence to Group guideline for the business unit, in which dispensation/ deviation/mitigating controls are formulated

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
•    Connect and synergize among various tribes and squads to ensure system and process or client journeys are designed and executed as per external regulatory and internal Group requirement, including product manager, legal and CFCC, client experiences, distribution team, risk team.  

Other Responsibilities
Embed Here for good and Group’s brand and values in WS Policies and Processes.  Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures

Qualifications

•    Education - Degree holder
•    Candidate should have 8-10 years of experience in banking industry, preferably with experience in Wealth Management, Risk Management and/or regulatory compliance.
•    Languages - English, Bahasa Melayu, Chinese

Skills and Experience

•    Process knowledge on Wealth product and transaction 
•    Process knowledge in banking system

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.