Job Summary

•    Be fully responsible for the overall compliance management of securities brokerage business and operation of outlet, carry out abnormal transaction monitoring and customer transaction behaviour management. 
•    Support Risk Department to undertake risk control responsibility in front office of brokerage business. 
•    Lead establishment of AML / sanction management /ABC (including but not limited to G&E assessment) related internal control process, supervise AML monitoring and anti-sanction screening.
•    Implement compliance surveillance. Monitor employees’ communication via recognized tools (email/voice record etc.) and personal investment. 
•    Carry out regulatory filing and registration (including but not limited to SMP filing, SAC registration, etc.), compliance inspections, organize compliance training.
•    Lead financial consumer protection work for business lines, including but not limited to investor suitability management, investor education and handling of complaints and reports.
•    Manage data governance, including but not limited to building-up of internal control mechanism for cross-border data transmission in accordance with laws and regulations such as PRC Personal Information Protection Law, PRC Data Security Law, and PRC Cybersecurity Law, as well as the requirements of industry regulatory authorities, and conduct data analysis, assessment, and compliance control.
•    Communicate and connect with regulatory bodies, draft and submit compliance reports and regulatory reports. Monitor the development of regulatory rules and supervise the implementation of the updated regulations.
•    Communicate with the Group/regional counterparts, analyse, and evaluate the compliance management requirements at the group level and the domestic implementation plan.
•    Communicate with other departments of the company and provide internal compliance advisory service and compliance training. 
•    Draft and revie the company's Policies and Procedures, building up and improving the internal control process and business operation instructions.
•    Support compliance effectiveness assessment and necessary compliance inspection. 
•    Assist the department head to complete other compliance management work. 
•    Identify, assess, monitor, address and escalate related risk and issues within covered risk function. Support local risk management teams in associated capacities.
•    Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
•    Maintain appropriate relationships with Regulators and liaise with internal / external auditors and manage various audit reviews display exemplary conduct and live by the Group’s Values and Code of Conduct

Key Responsibilities

Contributions to:

•    The financial security and compliance of the business
•    The good reputation of the Company and the Group
•    Management of risk
•    Protection and enforceability of the reputation of the Company and the Group and the ability to meet legal and regulatory obligations
•    Development of new businesses and product lines

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.
•    Lead to achieve the outcomes set out in the Bank’s Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment. 
•    Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key Stakeholders

Internal:
•    Legal and Compliance network
•    business product specialists
•    other supporting functions 
•    Risk teams

External:

•    Regulators
•    Legal officers in peer financial institutions 
•    Law firms
•    Industry Associations

Skills and Experience

•    Full-time master’s degree or above in finance, economics, law, management, finance, accounting, and other related majors from key domestic and overseas universities. Minimum 8 years of relevant working experience in the financial industry, PQE requirements can be negotiated for outstanding talents.
•    Professional qualifications: those who have SAC qualifications and who have passed the national judicial examination are preferred.
•    Solid basic knowledge, familiar with the relevant laws, regulations, and regulatory policies of securities companies; familiarity with the laws, regulations, and regulatory rules of the financial industry in the UK and Hong Kong is a plus.
•    Have strong language expression and writing skills, excellent information collection, analysis and judgment skills, good interpersonal communication, and teamwork skills, good at active learning, able to track industry development trends in a timely manner, and actively learn new knowledge and new business; proficient Operate computers and common office software.
•    Excellent English listening, speaking, reading and writing skills, able to use English as the working language to communicate smoothly with overseas groups.

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.