* Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards, and culture of appropriate conduct at the forefront of the Group's agenda. * As front line control function, ensure execution of the regulatory and compliance processes across the FM business, including identification of real or emerging risks to the regulatory framework in response to changes to business and/or the regulatory environment. * As a second line risk control function, execute the relevant aspects of the Compliance framework through robust risk control and specialist advisory, including constructive challenge in a manner proportionate to the nature, scale, and complexity of the FM business. Evaluate the effectiveness of controls in relation to regulatory risk management. * Support the management of the regulatory relationships with each of the regulators that have jurisdiction or oversight of the FM Americas business. * Maintain independence, delivery timely and valuable responses, and timely escalation of risks and issues where risk management tolerance has been exceeded.
Key Roles and Responsibilities
* Senior member of the Financial Markets ("FM") compliance advisory team responsible for real time advisory of Financial Markets business including; Fixed Income, Rates, Credit, Structuring, Prime Brokerage, Treasury, Debt Capital Markets, and FX businesses in the Americas across the bank and broker/dealer products. * Advise Financial Markets (Sales and Trading) on optimal regulatory processes and procedures relevant to FM Americas business developments. * 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 valuable regulatory compliance advice and guidance to enable the business and functions to meet and achieve their strategic tactical objectives. * Advise regulatory reform teams on impact of new or amended rules relevant to FM trading desks and assist on implementation of controls designed to satisfy new requirements. * FM compliance representative to various senior business managers, governance committees and forums. * Provide robust risk assessment and challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance. Escalate as necessary to appropriate forums, committees and stakeholders. * Assist with monitoring reviews of trading desks, Conduct monitoring reviews based on Group and regional monitoring program, Assist and advise surveillance department on specific exceptions and conduct transactional based monitoring and supervisory reviews of the FM business as necessary or warranted due to regulatory expectation. * Advise global compliance colleagues on U.S. regulatory requirements and procedures that impact cross-border and offshore FM business. * Prepare, plan, and administer training related to US regulations or procedures to onshore and offshore FM desks or departments. * Advise on appropriate procedures for registration and licensing of businesses across Financial Markets.
Qualifications and Skills
Licenses: Series 7 and 63. Series 24 (preferred)
At least 5 years experience in business advisory compliance position
Knowledge of Dodd Frank/Swap Dealer considerations relevant to US based branches of Foreign Banks
Knowledge of US Securities Laws
Strong Writing and communications skills
Ability to work in a dynamic working enviroment
How To Apply
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Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.
Equal Opportunity Employer
Standard Chartered is an equal opportunity employer. We have a meritocratic culture where each individual employee is valued and respected for who they are as a person and for what they bring to the organisation.