Associate, CFCC Advisory
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 & Our Ideal Candidate

  • Support the Head, Conduct, Financial Crime and Compliance (CFCC) Governance, Hong Kong and Director, CFCC Governance, Hong Kong in providing compliance and regulatory advice to internal stakeholders.
  • Proactively manage regulatory relationships, liaise with regulators and handle communications on regulatory matters including incident reporting and ad hoc enquiries.
  • Analyse new laws and regulations and changes identified from regulatory sources, prepare summaries of regulatory requirements and obligations, assign the relevant obligations to appropriate parties for implementation and track until closure.
  • Handle ad-hoc regulatory enquiries, surveys, consultations and circulars and ensure timely dissemination and submission.
  • Handle and advise on regulatory licensing matters including but not limited to Relevant Individuals (RIs) and Executive Officers (EOs).
  • Handle the statutory notification for appointment, cessation of appointment and change of particulars for Section 72B Managers and provide advisory support.
  • Handle the annual attestation process to ensure the fitness and propriety of the RIs, EOs and Section 72B Managers.
  • Ensure all information and updates provided to senior management and governance forums are timely, accurate and of consistently high quality.
  • Maintain and update CFCC policies / standards / guidelines / manuals / process documents.
  • Provide input into and support the rollout of Group projects and processes in Hong Kong.
  • Assist in the delivery of appropriate training on compliance and regulatory matters.
  • Strategy

  • Support Head, CFCC Governance, Hong Kong and Director, CFCC Governance, Hong Kong in implementing the vision, strategy, direction for Hong Kong CFCC in support of the Group’s strategic direction and growth aspirations.
  • Support the implementation of key CFCC processes and Group initiatives.
  • Risk Management

  • Support and provide independent risk management to stakeholders, and where appropriate providing oversight over key initiatives, with a particular focus on technology-related projects on incident management and system stability.
  • Identify key areas of compliance risks and manage and mitigate these risks for the Bank and the Group.
  • Comprehensively analyse the impact of regulatory risks and changes on relevant business areas and operations and assist in the establishment of effective controls.
  • Ensure appropriate and timely escalation of Country regulatory compliance issues to the relevant risk forums.
  • Perform the second line of defense role for CFCC risks.
  • Regulatory & Business Conduct

  • Display exemplary conduct and follow the Group’s Code of Conduct and values.
  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across the Bank.
  • This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.

    Key Stakeholders

  • Head, CFCC, Hong Kong
  • Head, CFCC Governance, Hong Kong
  • Director, CFCC Governance, Hong Kong
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