Director, CFCC Advisory, CMPS, HK

4 weeks ago

Hong Kong, Hong Kong SAR China Standard Chartered Bank Full time

Role Responsibilities

The role is part of CFCC Advisory for Hong Kong Consumer, Private and Business Banking (“ CPBB ”) with focus on Capital Markets Products & Sales (CMPS).The role reports to Director, PvB CFCC Advisory, Hong Kong, matrix reports to Head, CFCC Advisory, CMPS.

Strategy

·Support the implementation of the vision, strategy, direction and leadership for the Hong Kong Conduct, Financial Crime and Compliance (“ CFCC ”) team, consistent with the vision and strategy for CFCC and in support of the Group’s strategic direction and growth aspirations.

·Bring awareness and understanding of the Group’s business strategy and model appropriate to the role

·Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.

Business

To provide compliance guidance and advice for

·Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality regulatory compliance advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.

·Provide regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design and documentation through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.

·Provide robust challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance/ appetite.

·Work closely with the business to provide timely regulatory compliance advice to ensure compliance with all relevant laws and regulations.

·Review and advise on customer complaints and liaise with regulators as necessary.

·Handle and advise on misconduct and operational incidents and liaise with regulators and coordinate appropriate responses to their queries.

·Review and advise on the relevant rules/ regulations/ consultations papers issued by Hong Kong regulatory authorities

Processes

People & Talent

·Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank.

·Demonstrate efficient, strong analytical ability and logical thinking to make, support and defence difficult and complex regulatory compliance decisions.

·Take ownership of different projects, allocate tasks and give advice to the team.

·Lead through example and build the appropriate culture and values and work in collaboration with risk and control partners.

Risk Management

Hong Kong

·In collaboration with relevant senior managers, support a programme for compliance monitoring, surveillance and assurance for Hong Kong CMPS.

·Collaborate with the other Products Compliance teams and the Compliance Management Group to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.

·In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Bank and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased. Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform. Assist and work closely with Shared Investigative Services (SIS) in relation to investigations concerning CMPS.

·Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed and reported on.

·Responsibilities for Second Line of Defence as per the Risk Management Framework.

·Identify and evulate the complaince risks associated with the Bank’s operations and business activities, and ensure that the Bank’s operations comply with the regulatory requirement of Hong Kong.

Group:

·Assist the Head, Compliance, CMPS to ensure effective management of compliance matters, and in collaboration with the rest of the Compliance team, effectively manage regulatory issues that have a significant impact on the Bank.

·Support the Head, Compliance, CMPS to provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues.

·Support the Head, Compliance, CMPS to perform Compliance Risk Assessments for CMPS, including development of mitigating action plans.

Project/Change Management

Participate in business project and review any new business requirements by providing compliance advisory. Design and lead the team in performing Compliance Risk Assessment on annual basis.

Governance

Regulatory & Business Conduct

·Display exemplary conduct and live by the .

·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

Other Responsibilities

Embed Here for good and Group’s brand and values in Hong Kong CPBB CFCC. Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Our Ideal Candidate 

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

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