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Key Roles and Responsibilities
Support the Regional Head, Compliance, AME in the following responsibilities:
- Bring together and synthesize all conduct related expectations, work and communication coming from the Group Central Compliance team including the Group Conduct Program, Conduct frameworks, projects and analyses, Compliance Monitoring as well as the Functional Business Reviews
- Communicate and coordinate with regional and global stakeholders to ensure timely dissemination of Group initiatives, priorities and work product on Conduct throughout the AME region to stakeholders at country level
- Advise the Regional Head of Compliance to delivery of regional conduct risk assessments; create a master action plan to manage and mitigate those and monitor execution
- Coordinate and support Country Compliance teams and Country CEOs in the development and implementation of plans and procedures to address the Conduct Agenda at Country level. Coaching and guidance for Country Compliance Teams and CEOs in the identification and analysis of conduct related issues at Country level across the region
- Advise and coach the Regional Head of Compliance on conduct issues, enabling him to be trusted advisor to the Regional Head of Business. Ensure the Regional Head of Compliance is supported in embedding a strong conduct environment.
- Act as a centre of excellence and coordinate the mapping and alignment of Codes of Conduct (eg FM Codes of Conduct, Banking Codes of Conduct) and Conduct Frameworks or similar policies and guidance in use or circulation across AME
- Working with stakeholders to identify knowledge gaps on conduct across AME and work with Compliance Heads of Learning and Regional Head of Compliance to ensure these gaps are appropriately addressed.
- Provide a sounding board and advisory support for stakeholders in Business and Compliance in the region on questions relating to internal and external developments on Conduct.
- Review and advise regarding the implementation and completion of the Conduct risk theme of the Compliance Risk Assessment
- Support and advise in relation to Compliance's role in the disciplinary process relating to Conduct issues across AME
- Work with Group Conduct to ensure appropriate conduct metrics, benchmarking and MI are created for the region, and that these metrics are monitored by appropriate governance
- Work together with Compliance colleagues to build capability and empower the Business to own and drive Conduct as the 1 st Line
Regulatory & Business conduct
- Further the thinking, approach and practice of the Regional/ Cluster Heads of Compliance to encourage mindset changes relating to Conduct; broadening of skillsets; and promote systemic behavioural change management approaches
- Define a culture - conduct strategy and approach that address relevant cultural, contextual and behavioural issues arising from within the region
- 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 the AME Compliance team to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Operation of Financial Markets; Financial Crime Prevention; The Right Environment.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- Collate information on all Compliance regulatory/ remediation projects & programmes of AME Region to deliver consolidated view for Regional Head, Compliance, AME.
Qualifications and Skills
Other core competencies:
- Significant experience in compliance, regulatory, risk management or human resources
- Deep expertise in conduct, as well as in the context of organisational culture change
- Substantial experience in the financial services industry
- Excellent interpersonal skills and multi cultural awareness and sensitivity
- Ability to collaborate and work dynamically across country, region, business and group stakeholders
- Deep understanding of the regulatory requirements and the ability to translate these into a cultural and behavioural context
- Experience in designing and implementing solutions for systemic organisational change
- Understanding of the Bank's various businesses and markets and the conduct considerations relevant to each context
- Ability to design, implement and execute solutions in a structured and timely manner
The closing date for applications is 27/03/2017 Please note all closing dates are given in Hong Kong time (GMT + 8 hours). We aim to respond to successful applicants within four weeks and will keep a record or your application in our database so that we can contact you when suitable vacancies arise in future.
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.