The Head, CFCR Advisory, CC, TB,  GB & Functions, Americas is responsible for supporting the Chief Compliance Officer, Americas, the Head, CFCR Coverage, CIB, Americas and Head FCC EA, in managing and leading the Client Coverage (“CC”), Transaction Banking (“TB”), Global Banking (“GB”) and Functions CFCR Advisory team, aligning this to the vision and strategy of the function, the Enterprise Risk Management Framework (ERMF), and delegation of authority documents, where relevant.

This role includes first line responsibility for the implementation of Compliance, Conduct and FCC policies and procedures for CC, TB, GB & Functions processes to the extent the processes have been identified as owned by the CFCR function, in line with the Group’s process universe as set out in the Group Operational Risk Framework, including activities within the processes owned by the CFCR function which are hubbed or outsourced.

Insofar as they relate to CC, TB, GB & Functions compliance and conduct, the Head, CFCR Advisory, CC, TB, GB & Functions role is 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 (as appropriate):
•    Chief Compliance Officer, Americas and Head FCC EA 
•    Head, CFCR Coverage, CIB, Americas
•    the relevant Heads of Business

Insofar as they relate to FUNCTIONS, CC, TB & GB financial crime risks, the Head, CFCR Advisory, CC & TB role is 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 for notifying any such breaches to (as appropriate):

Key Responsibilities

• This role does not encompass the operation of information technology systems used to implement any policies and procedures, which is the responsibility of the Group Chief Information Officer, and does not encompass fraud or cyber related matters.
• To help the Group meet its commitment of being "Here for Good" by building a sustainable framework that places Compliance, Conduct and FCC best practice standards, at the forefront of the Group's agenda.
• As an independent second line risk control function, to execute the relevant aspects of the Compliance, Conduct and FCC PRTFs 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 CC, TB & GB businesses, as well as with respect to functional compliance matters.
• For the evalution and assessment of the effectiveness of the Group's Conduct, Financial Crime and Compliance commitments and requirements. To proactively support and challenge the Group's businesses and supporting functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group's clients.
• For maintaining independence, deliveing timely responses, and timely escalation of risks and issues where the management tolerance of the firm is exceeded.

• For maintaining constructive and effective stakeholder relationships with the relevant business and supporting functions, and to assist the Country Head, CFCR and the Country Head, FCC to interface with and support all key stakeholders.

• For supporting the management of regulatory relationships with all of the Group’s regulators, whose rules the Group is subject to.

• Drive high standards of regulatory compliance and deliver key priorities and initiatives, aligned to the CC, TB, GB & Functions performance scorecard 

• Ensure the provision of ongoing training and development of people and ensure that holders of all critical functions are suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks. 

• Meet with all new hires to the broker Dealer to go over Form U-4 paperwork as well as fingerprint them.

• Liaise with the internal audit function to ensure that any CFCR weakness identified by the internal audit function relating to licensing & registrations activities are appropriately followed up.
• Provide reports to relevant Group and Business risk and control committees and management group on key conduct, financial crime and compliance risks and issues pertaining to licensing & registration-related processes.
• Attend relevant meetings and provide relevant reports to management and governance/risk committees.
• Be accountable for identification and escalation of potential risks and issues to management through appropriate governance channels and the Quality Assurance framework.

Day-to-Day Tasks

• Ensuring all employees participating in the sale of securities and the supervision of employees engaged in the sale of securities are properly licensed to do so. 
• Understanding the Group’s business strategy and model appropriate to the role.
• Process Form U-4/U-5 Forms.
• Process pre Hire Consent Forms.
• Fingerprint new employees to the Broker Dealer. 
• Update Form BD and advise all Board Members of changes and updates. 
• Maintain Rule 15a-6 list. 
• Maintain Swap Dealer Registrations Information / AAP list. Review Dodd Frank Control report daily.
• Perform E Communications Review, including Bloomberg and Reuters Messaging. 
• Ensure Regulatory Continuing Education and Firm Element Training are completed timely. 
• Disposition broker-dealer invoices.
• Act under delegation from the respective Risk Framework Owners for the principal risk types of Compliance, Conduct and FCC in discharging the responsibilities contained in the ERMF  to the extent that CFCR advisory (Licensing & Registrations) is the appropriate second line risk owner. 
• Develop and maintain effective policies/processes/DOIs (including training, advice and support) to address CFCR risks across licencing and registration, aligning with relevant regulatory requirements.
• Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters relating to licensing & registrations are tracked, followed, regularly assessed and reported on, including oversight of risk acceptance and/or mitigating action plans.
• Maintain oversight of risk acceptance and/or mitigating action plans relating to licensing & registrations compliance.

• Propose control effectiveness and efficiency improvements and simplifications where appropriate.

• Work with relevant regulators in an open and cooperative manner.

Additional Responsibilities

• In accordance to the Group’s Enterprise Risk Management Framework, act as second line Risk Owner for appropriate and relevant Licensing & Registrations processes.
• Process Owner for E Communications Surveillance. 
• Risk Control Owner for AAP Dodd Frank Control report. 
• Ensure a full understanding of the risk and control environment in area of responsibility, including regulatory risks for non-compliance of laws, rules and/or regulations. 
• Liaise with the internal audit function to ensure that any CFCR weakness identified by the internal audit function relating to licensing & registrations activities are appropriately followed up.
• Provide reports to relevant Group and Business risk and control committees and management group on key conduct, financial crime and compliance risks and issues pertaining to licensing & registration-related processes.
• Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters relating to licensing & registrations are tracked, followed, regularly assessed and reported on, including oversight of risk acceptance and/or mitigating action plans.
• Maintain oversight of risk acceptance and/or mitigating action plans relating to licensing & registrations compliance.
• Provide reports to relevant Group and Business risk and control committees and management group on key licensing & registrations risks and issues.
• Understand technical aspects of systems relevant to licensing & registrations.
• Ensure global standards are understood and implemented in locally, with any identified exceptions, or need for more/less stringent standards escalated to Regional Compliance for joint-decision making.

• Provide reports to relevant Group and Business risk and control committees and management group on key licensing & registrations risks and issues.

• Understand technical aspects of systems relevant to licensing & registrations.

• Ensure global standards are understood and implemented in locally, with any identified exceptions, or need for more/less stringent standards escalated to Regional Compliance for joint-decision making.

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.

Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

Expected annual base pay range for the role is XXX USD to XXX USD. The final offer will be determined on an individualised basis using a number of variables, including but not limited to skill set, depth of experience and education, internal relativity, and specific work location. At Standard Chartered Bank, Base pay is only part of the total compensation package. Discretionary variable pay and a range of attractive bank sponsored benefit programs are available and designed to foster employee overall health and well-being including, but not limited to, a best in class 401k plan with up to 8% employer match, robust medical plan coverage with employer funded Health Savings Accounts, inclusive family building benefits, and flexible/hybrid working arrangements for many of our positions subject to role specific considerations

Visit our careers website www.sc.com/careers