Director, CFCC Advisory, CCIB, Hong Kong
Standard Chartered Bank
Hong Kong, Hong Kong, Asia
4天前

The Role Responsibilities

Reporting to the Head, CFCC Advisory, CCIB, Hong Kong, the role is a key member in the Hong Kong team to set and implement the vision, strategy, direction and leadership for CFCC Advisory teams, as set by group and consistent with the Head, CFCC, Hong Kong vision and strategy for the CFCC function and in support of the Bank’s strategic direction and growth aspirations.

The role will focus to support the Financial Markets business in Hong Kong, amongst others.

Strategy

  • Promote the culture and practice of compliance with Compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
  • Business

  • Awareness and understanding of the financial markets, the products traded, economic and market environments where regulatory risk could impact the locations in which the Group operates;
  • Ability to analyse relevant laws and regulations and relate regulatory interpretations to products and business models.
  • Good knowledge of market initiative regulations and OTC derivatives reforms

  • Providing compliance coverage and advice to the Financial Markets.
  • Work closely with other country CFCC teams to provide timely regulatory compliance advice to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive compliance and conduct risk mitigation
  • Assists in the identification of material regulatory and reputational risks in the business.
  • Anticipates and assesses key regulatory and product risk trends in the business for management consideration and drive the development and implementation of appropriate risk mitigation measures.
  • Review and provide compliance inputs on processes designed by the Business to ensure compliance with regulatory requirements and the Bank's policies.
  • Undertakes continual assessment of regulatory risks associated with new / existing products and markets (including those utilizing new trading platforms).
  • Assists in management and implementation of the product compliance coverage framework and in the preparation and distribution of management information in relation to the product compliance coverage.
  • Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes / practices and associated risks, and proactive engagement in regulatory change.
  • Processes

  • Provide governance and oversight over the implementation of CFCC related policies and procedures) in FM business.
  • Assists in the development and enforcement of FM compliance standards and controls.
  • Ensures appropriate documentation of controls and control decisions.
  • Prepares / reviews reports for Country, Business and Regional compliance management and various risk / country governance on key compliance risks and issues.
  • 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.
  • Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
  • Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
  • Drive the migration of skill, knowledge, best practice and lesson learned across the network between CFCC Advisory colleagues especially in relation to global and regional regulatory risks and standards.
  • Risk Management

  • Collaborate with the other Product CFCC teams, CFCC Advisory Management Team and / or the CFCC Management Team to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
  • Liaise with the internal audit function to ensure that any CFCC weakness identified by the internal audit function relating to EMIR Transaction Reporting activities are appropriately followed up where they are relevant to CFCC.
  • Provide advice on the application of CFCC risk management frameworks (e.g. ERMF) and provide advice to relevant stakeholders on outcomes of risk identification and assessment methodologies
  • Provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues
  • Governance

  • Attend relevant leadership meetings, and provide relevant reports to management and governance / risk committees.
  • Propose control effectiveness and efficiency improvements and simplifications where appropriate.
  • Ensures timely escalation of incidents, control breaches to relevant stakeholders, e.g. in Compliance, Business and Country management.
  • Maintain adequate management MI / trackers and to ensure all issues and matters are tracked, followed, regularly assessed and reported on.
  • Provide support and challenge to the FM senior management to ensure that they establish and monitor appropriate processes for compliance with compliance policies, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct).
  • 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.

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

  • Global, regional and country CFCC teams
  • FM front and middle Office, COO
  • FM Operations
  • Other Risks and Control Functional Heads (Risk, Audit, etc)
  • Relevant Regulators
  • Our Ideal Candidate

  • Proven experience in compliance advisory, preferably in financial markets
  • Strong regulatory knowledge
  • 8 years of experience in a regulated financial institution
  • 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. Visit our careers website

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