Associate Director, CFCC Advisory, CPBB
Standard Chartered Bank
Hong Kong, Hong Kong
4天前

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 160 years, we've worked to make a positive difference for our clients, communities, and each other.

We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you.

You can count on us to celebrate your unique talents. And we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity , together with our brand promise, to be here for good are achieved by how we each live our valued behaviours .

When you work with us, you'll see how we value difference and advocate inclusion. Together we :

  • Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
  • Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
  • Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
  • In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

  • Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations
  • Time-off including annual, parental / maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum
  • Flexible working options based around home and office locations, with flexible working patterns
  • Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
  • A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning
  • Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.
  • Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to.

    If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

    The Role Responsibilities

    Strategy

  • Awareness and understanding of the Group's business strategy and model appropriate to the role.
  • Business

    To provide compliance guidance and advice for Consumer, Private and Business Banking (CPBB) business with the focus on private banking business :

  • Review and advise on the rules / regulations / consultations papers issued by regulatory authorities
  • Advise the designated business and / or support units about all applicable laws and regulations, and assist them to establish appropriate policies, manuals and procedures for their operations with due regard to all applicable Group requirements and regulatory requirements
  • Ensure that products and services offered by the Bank and operational processes are in compliance with the Group requirements and the relevant local regulatory requirements
  • Provide advisory services to CPBB business and / or support units on all relevant compliance issues and to liaise with regulators as required
  • Review new product / service initiatives, incentive scheme, data privacy and obtain regulators' approval as required
  • Handle and advise on regular submissions / ad-hoc surveys, regulatory information request / enquires / inspection, and liaise with regulators and coordinate appropriate responses to their queries
  • Review and advise on customer complaints and liaise with regulators as necessary
  • Processes

  • Advise the designated business and / or support units about all applicable laws and regulations, and assist them to establish appropriate policies, manuals and procedures for their operations with due regard to all applicable Group requirements and regulatory requirements
  • People and Talent

  • Lead through example and build the appropriate culture and values. Set appropriate tone and work in collaboration with risk and control partners.
  • Risk Management

  • Responsibilities for Second Line of Defence as per the Risk Management Framework
  • Governance

  • Understanding the risk and compliance requirements of the role.
  • Understand and comply with, in letter and spirit, all applicable laws and regulations, including those governing anti-money laundering, terrorist financing and sanctions;
  • the Group's policies and procedures; and the Group Code of Conduct.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters.
  • Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group's Valued Behaviours 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 business and support units 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.
  • HKMA prescribed responsibilities and Rationale for allocation.
  • Key Stakeholders

  • Legal network
  • Conduct, Financial Crime & Compliance network
  • Respective Business and Business / Units Operational Risk Manager
  • Regulators
  • Peers in other banks
  • Other Responsibilities

  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
  • Our Ideal Candidate

  • 7 years of work experience in the areas of audit and / or compliance
  • A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
  • Sound knowledge of rules, regulations and statutory requirements of Hong Kong Monetary Authority / Insurance Authority / Securities and Futures Commission and / or other regulatory bodies
  • Effective communications skills (written and spoken)
  • Strong analytical skills
  • Good interpersonal skills and a team player
  • Good judgement
  • Ability to work under pressure
  • Independence and robustness
  • Personal authority, integrity and ethics
  • Role Specific Technical Competencies

  • 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
  • Visit our careers website www.sc.com / careers

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