Director, CFCC Advisory, CPBB - Hong Kong, 香港 - Standard Chartered Bank

    Standard Chartered Bank
    Standard Chartered Bank Hong Kong, 香港

    2周前

    Standard Chartered Bank background
    全职
    描述

    Role Responsibilities

    This is a Compliance Advisory role to provide support to the Private Banking business in Hong Kong.

    Strategy

  • Support the implementation of the vision, strategy, direction and leadership for the HK CFCC team, consistent with the vision and strategy for CFCC and in support of the Group's strategic direction and growth aspirations.
  • 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:

  • 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
  • Handle and advise on misconduct and operational incidents 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 & Talent

  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank.
  • Demonstrate efficient, strong analytical ability and logical thinking to make, support and defence difficult and complex regulatory compliance decisions.
  • Take ownership of different projects, allocate tasks and give advice to the team.
  • Lead through example and build the appropriate culture and values 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 .
  • 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.
  • 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.

    • Key stakeholders

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

    • Other Responsibilities

  • Embed Here for good and Group's brand and values in Hong Kong CPBB.Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats);

    • Our Ideal Candidate

  • A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
  • Over 8 years of work experience in the areas of compliance
  • Sound knowledge of rules, regulations and statutory requirements of Hong Kong Monetary Authority and/or other regulatory bodies such as Securities and Futures Commission
  • Strong technical knowledge of products and high level understanding of various laws and regulations applicable to the businesses:
  • Knowledge in risk identification, risk assessment, controls development, training, monitoring and reporting.
  • Ability to analyse relevant laws and regulations and co-relate regulatory issues to products and business models
  • Effective communications skills in both English and Chinese with good ability to lead discussions around complex problems with relevant stakeholders.

    • 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