- Reporting to the Acting 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 provide core compliance support to the CCIB business in Hong Kong.
- 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.
- Awareness and understanding of CCIB, 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.
- 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 compliance coverage framework and in the preparation and distribution of management information
- Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory change.
- Provide governance and oversight over the implementation of CFCC related policies and standards in relevant CCIB business.
- Assists in the development and enforcement of CFCC standards and controls.
- Ensures appropriate documentation of controls and control decisions.
- Prepares / reviews reports for Country, Business and Regional CFCC management and various risk/ country governance on key CFCC risks and issues.
- 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.
- Collaborate with the other 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 are appropriately followed up where they are relevant to CFCC.
- Provide advice on the application of CFCC risk management frameworks ( 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
- Provide relevant reports to management and governance/risk committees.
- Ensures timely escalation of incidents, control breaches to relevant stakeholders, 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.
- 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.
- Global, regional and country CFCC teams
- Risks and Control Functional Heads (Risk, Audit, etc)
- Relevant Regulators
- This Job Description should be read in conjunction with the relevant terms of reference, the Group's Governance Manual which sets out responsibilities for establishing, maintaining and implementing the Group's high-level systems and controls, policies and procedures, and the role-holder's contract of employment. The role-holder acknowledges that they understood and will abide by the responsibilities set out in the Governance Manual as well as ensure compliance with Group Code of Conduct, and the local regulators Statements of Principle and Code of Practice for Regulated roles.
- Embed Here for good and Group's brand and values in Hong Kong; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats)
- Languages - Fluent in both English and Chinese
- Accuracy and Attention to Details
- Communication
- Problem Solving
- Analytical Thinking
- Digital Fluency
- Learning Agility
- Self Management
Associate Director, CFCC Advisory, CCIB - Hong Kong, 香港 - Standard Chartered Bank
描述
RESPONSIBILITIES
Strategy
Business
Processes
People & Talent
Risk Management
Governance
Regulatory & Business Conduct
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