Associate Director, Conduct, Financial Crime & Compliance (CFCC), GBS
Standard Chartered
Bukit Jalil KL, Malaysia
6 hari yang lepas

About Standard Chartered

We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation.

This in turn helps us to provide better support to our broad client base. Job Purpose

  • As a member of the function make a significant contribution to the direction of the Conduct, Financial Crime & Compliance (CFCC) function in GBS Entities.
  • Promote, lead, and manage the culture and practice of CFCC consistent with supporting the Group’s strategic direction and growth aspirations in GBS Entities.
  • Establish and maintain a continuous awareness and application of CFCC Risk Management within GBS Entities.
  • To identify, mitigate, monitor, and manage regulatory risks across GBS Entities.
  • Ensure the effectiveness of the Group’s management of CFCC Risk for Entities.
  • In partnership with Country Compliance, maintain close and open relationships with the regulators in respective GBS locations.
  • The Role Responsibilities Strategy

  • Oversee the implementation of the SCB Group Compliance methodology (encompassing risk identification, assessment, monitoring, training and advice).
  • Drive and implement the vision, strategy and direction set by Group Head Compliance for the Compliance Function overseeing GBS, and align it with the broader strategic agenda of the Group and GBS
  • Business

  • Analyse comprehensive impact of CFCC compliance matters on the relevant business areas and their operations.
  • Ensure that key changes (to laws, rules, regulations) are communicated and cascaded, in coordination with Group Communications.
  • Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.
  • Ensure appropriate advice is provided to the relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices, and policies related to Compliance.
  • Processes

  • Support CFCC submission to the relevant Risk Committee, appropriate policies / processes / DOIs to address Compliance risks, aligning them with relevant regulatory requirements
  • Provide support and challenge to the Management team to ensure that they establish and monitor appropriate processes for compliance with compliance policies, procedures, and standards (including meeting regulatory obligations and maintaining high standards of conduct).
  • Provide governance and oversight over the implementation of Compliance-related policies and procedures in GBS to ensure compliance with such policies and procedures.
  • People and Talent

  • Ensure the holders of all critical functions are competent, suitably skilled and qualified for their roles.
  • Assess competency and skillset of the team on an ongoing basis to ensure alignment to the risk management demands, and ensuring the team have effective supervision in place to mitigate any risk.
  • Risk Management

  • Identify and assess sources of regulatory risks and ensure that systems and controls are appropriate to mitigate and manage risks within acceptable risk tolerance levels.
  • Report on material regulatory, compliance risks.

  • Maintain oversight of risk mitigation action plans.
  • Inform senior management and Country Compliance of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and / or activities are ceased.
  • Anticipate horizon risks that may have a significant impact to the Group and develop effective strategies to mitigate such horizon risks.
  • Governance

  • Ensure lessons learned from audit findings, Compliance assurance activities and investigations are prepared and cascaded to relevant stakeholders.
  • Support the Country programmes / GBS addendum framework.
  • Regulatory relationships and Regulatory change

  • Execute and implement functional best practices around regulatory inspections.
  • Ensure proactive and timely identification, assessment, advice, and dissemination in accordance with the respective Group framework, of evolving regulatory changes / practices and associated risks in and relating to GBS.
  • Ensure proactive engagement in regulatory reform, including ensuring identification and escalation of regulatory reform proposals, participation in local internal regulatory relationship and reform forums and memberships of local external industry forums.
  • Exclusions

  • For clarity areas for control and oversight excluded from responsibilities include :
  • Fraud-prevention
  • BCP / crisis management
  • Conduct of business matter outside GBS
  • First line assurance (except processes owned by Compliance)
  • Second line rules-based assurance activity of any process not directly related to regulatory risk
  • All prudential related matters
  • Our Ideal Candidate

  • Relevant undergraduate degree, ideally with 8-14 years relevant experience in Compliance, Internal / External Audit and / or Risk Management.
  • Ability to read and write in Mandarin is compulsory
  • Good understanding of law and technology is an advantage
  • Able to work under broad direction but is a self-motivated individual who can demonstrate strong sense of initiative with the ability to work independently and as a team player;
  • has technical responsibility and accountability for work performed and decisions taken

  • Possess effective interpersonal communication, emotional intelligence, and collaboration skills.
  • Meticulous and takes strong pride in the quality of one’s work
  • Results-oriented and able to abide by tight deadlines with a strong sense of responsibility
  • Establish sufficient experience in managing compliance, regulatory and operational risks.
  • Experience in the financial services industry.
  • This role requires some travelling to other GBS locations
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