Head, CPBB Legal, Governance & Framework
Standard Chartered Bank
Hong Kong, Hong Kong, Asia
4天前

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. The Role Responsibilities

Strategy

  • To provide primary legal support to the CPBB business including specifically, CPBB Client Experience, Lending and in addition, the Governance aspects across CPBB Legal.
  • Assist with overall legal framework supporting, and set global standards for CPBB Legal on credit, lending, advisory, fund management and digital platforms across CPBB.
  • Assist the General Counsel, CPBB with execution of CPBB Legal initiatives to align and support the CPBB business strategy
  • Maintain close relationship and collaborate with stakeholders to review and enhance policies relating to documentation.
  • Ensure consistency and coordination for CPBB Legal, regional and country legal teams supporting CPBB as to the impact of regulatory reform (including documentation changes, requests and repapering activities).
  • Support the strategic intent and priorities of CPBB Legal, including :
  • implementing the new Ways of Working within CPBB Legal, aligning with the CPBB business strategy
  • close liaison and mutual support from and with other parts of the LCS function, relevant CPBB businesses and functional groups, as required
  • support of process governance committees
  • support implementation of the Operational Risk Framework requirements applicable for CPBB Legal
  • assess, analyse and lead regulatory compliance change requirements impacting CPBB from a legal perspective
  • Lead on policies, procedures and standards for CPBB Legal documentation including its architecture, advisory and distribution and support of CPBB.
  • Strategic execution involving end-to-end documentation simplification across CPBB.
  • Business

  • Support the General Counsel CPBB to align and execute for CPBB Legal :
  • to provide product and functional legal advice to the CPBB business and functional stakeholders
  • manage and track identification of legal themes and risks across CPBB,
  • develop, manage and track the CPBB Legal book of work including list of key transactions, projects and initiatives, CPBB disputes, use of external counsel, CPBB legal related regulatory reforms and other key areas of legal issues and risks relevant to CPBB
  • prepare strategic papers and reports to CPBB MT and LCS NFCRC, as required
  • Provide strategic and proactive advice and support as a central lending advisory unit setting global standards across lending products across CPBB and in particular, Wealth Lending.
  • Act as lead lawyer for CPBB Client Experience journeys.
  • Provide CPBB Legal support having regard to PPG / CA parameters and, if applicable, Bank's minimum standards and guidance for the relevant product or services.
  • To support and implement global standards and initiatives for legal matters in relation to CPBB and applying a consistent approach to issues management.
  • To support legal teams supporting CPBB centrally and drive operational efficiencies / improvements.
  • Work with the CPBB Legal team, regional and country Legal Heads supporting CPBB and other stakeholders to structure and define parameters for new products and initiatives, and support process and documentation design to ensure that global template documents and associated processes are fit for purpose and promote simplification across the Group.
  • To promote clarity and understanding of CPBB documentation and legal governance within the Bank.
  • Processes

  • Has primary responsibility for reducing inefficiencies related to client documentation and documentation processes, targeting those documents and processes which support core CPBB banking products and services / flow products.
  • Ensure existing client documentation is rigorously maintained and evolves where necessary in alignment with business needs, regulatory, client and technology drivers.
  • People and Talent

  • Demonstrate leadership and direction to legal teams for governance and lending matters for CPBB
  • Ensure the CPBB Legal Governance team is adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address legal risks.
  • Recruit, maintain, retain and keep engaged a skilled CPBB Legal Governance team that is appropriate, including : providing leadership, management and coaching to direct reports to enable them to be highly engaged and performing to their potential;
  • ensure that reporting managers are building highly engaged teams; setting and monitoring job descriptions and objectives for direct reports;
  • and engaging relevant stakeholders (client segment / product business teams, country teams, regulators, other infrastructure and governance functions, and Legal and Compliance colleagues at Group, regional and country level) to obtain continuous feedback on their team’s performance;
  • promoting best practice and lessons learned across their teams, especially in relation to legal risks and compliance with relevant regulations and internal policies / procedures.

  • Lead through example and build the appropriate culture and values. Set an appropriate tone and expectations from the team as regards good conduct.
  • Risk Management

  • Identify material Legal risks and themes in CPBB and communicate these to General Counsel CPBB, CPBB Legal MT and regional and country legal teams supporting CPBB as necessary.
  • Participate and work with Legal COO on risk management issues across the LCS Function, with a particular focus on CPBB.
  • Within the Group’s overall Risk Management Framework, establish and maintain an appropriate risk-based approach to assessing, measuring, monitoring, managing and reporting legal risk arising in area of responsibility.
  • Maintain an awareness and understanding of the top risks facing the Group and the role played in managing them.
  • Governance

  • Ensure appropriate product governance measures are in place for CPBB Legal so that product approval documents reflect all relevant legal requirements and issues.
  • Establish and maintain effective processes (including training, advice and support) to ensure that policies, procedures and standards to address legal risks for documentation matters are effectively implemented across CPBB Legal.
  • Create global standards for CPBB Legal under any relevant Client lifecycle processes.
  • Ensure that the impact of regulatory reform in relation to CPBB Legal is implemented in a consistent manner and, where possible, coordinated across with reforms affecting other products, so that client impact is minimised and efficiently handled.
  • Support NFRCs / QPRs / MPRs and regulatory compliance change requirements within the CPBB Legal documentation universe.
  • Support the CPBB Legal teams including the General Counsel, CPBB and the Head, Legal, Affluent & Wealth to ensure accurate and clearly articulated papers are prepared for the various CPBB committees and forums to address the CPBB legal policies, processes and documentation.
  • Provide support to the Bank’s senior management to ensure that they establish and monitor appropriate processes for compliance with legal policies, procedures and standards on CPBB Legal matters.
  • Training on new initiatives and global standards for CPBB and the CPBB Legal teams.
  • Reg Reform ensure consistency and coordination for CPBB as to the impact of regulatory reform (including Doc changes, requests and repapering activities).
  • Coordinate activities which require process review by Country Legal / Product Legal teams.
  • Regulatory & Business Conduct

  • 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 CPBB Legal Governance team to achieve the outcomes set out in the Bank’s Conduct Principles : Fair Outcomes for Clients;
  • Effective Financial Markets; Financial Crime Compliance; The Right Environment.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters
  • Key Stakeholders

  • General Counsel CPBB
  • Global Head, Client Experience and Strategic Business Enablement
  • CPBB Legal Management Team
  • CPBB Product / Segment Legal Leads and Regional / Country Leads
  • Our Ideal Candidate

  • Qualified to practice as a solicitor / attorney or barrister / advocate.
  • Experience in private practice or in-house of managing complex legal issues, and has at least 10 years of relevant legal experience in the financial industry, in particular in the banking industry focusing on lending, wealth management and / or retail banking.
  • Excellent business acumen (including ability to assess risk and appropriate levels of return), strong leadership qualities, excellent interpersonal skills and multi-cultural awareness and sensitivity.
  • Extensive understanding of risk management techniques.
  • Sound judgment of business practices, regulatory relationship management and reputational risk.
  • Exemplary integrity, ethics, independence and resilience.
  • Personal authority with proven ability to establish relationships and provide strong direction at senior levels of the business and the Group, and with external stakeholders.
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