Associate, FCC Governance and FCC Controls
Standard Chartered
Taipei, Taiwan,
5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 Strategy

  • Input to Taiwan Business operating model design of relevant CFCC and business processes.
  • Ensure that there is adequate support (people, processes, tools, frameworks, systems) in Taiwan CFCC Governance & Controls teams for necessary CFCC controls.
  • Set and implement the vision, strategy, direction and leadership for the Taiwan CFCC Governance &, consistent with the vision and strategy for CFCC and in support of the Group’s strategic direction and growth aspirations.
  • Develop an appropriate testing strategy for Country CFCC and oversee execution of testing framework in line with Group CAR methodology.
  • Business

  • Ensure that key changes (to laws, rules, regulations) are communicated and cascaded in Taiwan in a timely manner, in coordination with group communications.
  • Support relevant stakeholders to make decisions based on current and possible future policies,practices, and trends.
  • Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to CFCC.
  • Core Compliance matters, including training coordinations, Group projects, cross-Taiwan-CFCC projects
  • Outsourcing governance and key controls
  • Processes

  • Develop, keep up to date and recommend for approval by the relevant Risk Committee, appropriate policies / processes / DOIs to address financial ime risks, aligning with relevant regulatory requirements.
  • Provide governance and oversight over the implementation of CFCC-related policies and procedures in Taiwan to ensure compliance with such policies and procedures.
  • Ensure ERMF framework be executed and effective in Country CFCC levels
  • Provide coordinations and consolidations pertaining to preparations of BOD, ERC and sub-Risk Committees papers and track follow-up actions
  • Be the coordinator for Treating Customer Fairly key principles self-assessment and implementation status tracking
  • Be the driver and coordinator for Conduct Risk Management MI and Scorecard tracking
  • People and Talent

  • 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.
  • Ensure Taiwan CFCC Governance team are adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address financial crime risks.
  • Ensure staff in Taiwan CFCC Governance team have clearly articulated and well understood roles and responsibilitiesthrough meaningful and accurate job descriptions.
  • Risk Management

  • Maintain oversight of risk mitigating action plans.
  • Governance and MI

  • Attend relevant leadership meetings.
  • Support Head of CFCC, Taiwan to provide senior oversight of Taiwan CFCC.
  • In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management and relevant regulators are informed and that actions are taken quickly to remediate and / or activities are ceased.
  • Prepare and cascade lessons learned from audit findings, CFCC assurance activities and specific investigations.
  • Track significant issues arising from CFCC metrics, CFCC Assurance activities, Audit reviews and regulatory inspections, providing validation of issue closure where necessary.
  • Support all control checks undertaken by CFCC under the Operational Risk Framework (ORF).
  • Implement quality assurance standards and workflows for the CFCC Assurance function.
  • Periodic reporting and timely escalation of significant risks and issues arising from CFCC Monitoring and Assurance activities.
  • Define metrics and / or key risk indicators (KRI) especially for AML, Sanctions and ABC.
  • Project / Change Management

  • Lead or influence significant programmes of work in support of the Group Governance compliance objectives
  • 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.

  • Lead the Taiwan CFCC Governance & Controls teams to achieve the outcomes set out in the Bank’s Conduct Principles : Fair Outcomes for Clients;
  • Effective Operation of Financial Markets; Financial Crime Prevention; The Right Environment

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  • Support Country Compliance and CFCC teams in managing regulatory relationships with CFCC issues.
  • Key Stakeholders

  • Taiwan Governance Team members
  • Senior CFCC Management in Country and Region
  • Senior Legal and Compliance Management in Country and Region
  • CFCC and Compliance teams
  • Relevant business stakeholders
  • Relevant regulators and their monitors
  • Other Responsibilities

  • Embed Here for good and Group’s brand and values in Taiwan
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
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