Head, CFCC Governance
Standard Chartered
Taipei, Taiwan,

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 Country operating model design of relevant CFCC and business processes.
  • Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the Country Governance team for necessary CFCC controls.
  • Proactively develop regulatory relationships with regulators in Country through a structured engagement programme with consistent adherence to regulatory expectations.
  • Ensure that Standard Chartered Bank's operations in Taiwan are in line with regulatory expectations and Group requirements.
  • Support the Country Head of CFCC and Country Head of FC to set and implement the vision, strategy, direction and leadership for Taiwan, consistent with the vision and strategy for CFCC and in support of the Group's strategic direction and growth aspirations.
  • 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

  • Ensure that key changes (to laws, rules, regulations) are communicated and cascaded in Taiwan, 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, regulations, laws, best practices and policies related to CFCC
  • In conjunction with the relevant stakeholders, analyse the impact of regulatory compliance matters on the bank and its operations.
  • Anticipate, assess and communicate key regulatory risk trends in Country for management consideration and drive the development and implementation of appropriate mitigation control measures
  • Use general knowledge of business products undertaken in the jurisdiction to work with business compliance specialists to respond to regulatory questions and keeps the in-Country regulators updated on developments in the Bank’s business
  • Processes

  • Develop, keep up to date and recommend for approval by the relevant Risk Committee, appropriate policies / processes / DOls to address CFCC, aligning with relevant regulatory requirements.
  • Providing governance and oversight over the implementation of CFCC related policies and procedures in Country to ensure compliance with such policies and procedures.
  • Provide advice to relevant business & functions stakeholders on compliance with Group standards & regulatory matters relating to CFCC.
  • Proactively monitor regulatory developments to manage the regulatory impact of complex regulatory matters on the Bank's business and its operations
  • Provide guidance on the proper application and interpretation of banking laws, regulations and policies applicable in Country.
  • Set control standards and provide advice on the development of appropriate controls for the mitigation of regulatory risks.
  • Assist in overseeing relevant administration and licensing and required by the in-Country regulatory requirements.
  • In the event of serious regulatory breaches, or where risk tolerances have been breached, assist in critical workstreams in order to ensure senior management and relevant regulators are informed and that actions are taken quickly to remediate and / or activities are ceased.
  • Track significant issues arising from CFCC metrics, Assurance activities, Audit reviews and regulatory inspections, providing validation of issue closure where necessary.
  • Prepare and cascade lessons learned from audit findings, assurance activities and specific investigations.
  • Support all control checks undertaken by CFCC under the Operational Risk Framework (ORF).
  • Implement quality assurance standards and workflows for the CFCC processes.
  • Co-ordinate / support the management of audits / exams.
  • People and Talent

  • Provide leadership management and coaching to direct reports to ensure they are highly engaged and performing to their potential
  • 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 Country CFCC Governance team is adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address, legal, compliance & financial crime risks.
  • Ensure the provision of ongoing training and development of people, and ensure that holders of all critical functions are competent, suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
  • Ensure staff in Country CFCC Governance team have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions.
  • Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
  • Employ, engage and retain high quality people, with succession planning for critical roles. Responsibility to structure / capacity plans.
  • Set and establish team objectives and priorities through discussions with relevant stakeholders, ensuring that team work effectively and proactively with business compliance and other support function teams to manage in Country CFCC risks.
  • Keep track of appointment, resignation and withdrawals of the authorised individuals.
  • Risk Management

  • Maintain oversight of risk mitigating action plans.
  • Provide advice on the application of risk management frameworks (e.g. ORF, GRA).
  • Apply Group and CFCC policies and processes to manage risks.
  • Make recommendations (and / or implement) to relevant stakeholders on possible risk management responses to identified risks and / or findings of concerns from investigations.
  • Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and / or activities are ceased.
  • Conduct country risk assessment.
  • Map risks, quantify the potential impact and escalate where necessary.
  • Lead delivery of annual Global Compliance, AML, ABC and Sanctions Risk Assessments.
  • Provide intelligence inputs to support calibration of bank's Risk Methodologies (including aggregate client risk, product risk and country risk assessments).
  • Oversee the review and analysis of the client base to identify and manage high risk clients, or specific country reviews.
  • Ensure the Bank is properly prepared for, routine and thematic regulatory exams, audits and supervisory inspections, as well as to managing the response from the business.
  • Define metrics and / or key risk indicators (KRI) for CFCC.
  • Lead key change programmes and projects for Country CFCC
  • Maintain work plans specific to Country CFCC projects / initiatives, and communicate the same to stakeholders in a regular, timely fashion to inform and seek inputs.
  • Drive and stimulate an environment where forward planning, prioritisation and deadline management lead to efficient work practices and streamlined functional activities and processes.
  • Provide skilled resources to support project / programme delivery
  • Manage and protect business as usual (BAU) capability during change programme, as well as during the execution and delivery of the Remediation initiatives through project phase into BAU
  • Governance

  • Attend relevant leadership meetings.
  • Provide senior oversight of Country CFCC function.
  • 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.
  • Periodic reporting and timely escalation of significant risks and issues arising from CFCC Monitoring and Assurance activities.
  • Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework.
  • Collate, analyse and interpret data in reports to senior management and relevant governance / risk committees.
  • Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and thus drive remediation action within the CFCC function.
  • Lead or influence significant programmes of work in support of the CFCC initiatives and projects.
  • Proactively drive the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment
  • 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 CFCC Governance team 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.
  • Support relevant stakeholders to respond to regulatory questions
  • Key Stakeholders

  • GCNA CFCC Governance and FCC Heads
  • Heads of Country Business Segments and Products
  • Country Head, FCC
  • Country Head, CFCC Advisory, RB
  • Country Head, CFCC Advisory, CCIB
  • Country Corporate Secretary
  • Country Risk
  • Country Operational Risk
  • Country Internal Audit
  • Financial Supervisory Commission
  • Other Responsibilities

  • Embed Here for good and Group's brand and values in the UAE Regulatory Compliance team.
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
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