Manager, CFCC Advisory
Standard Chartered
Taipei, Taiwan,
4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 Strategy

  • Awareness and understanding of the Group’s business strategy and model appropriate to the role.
  • 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, marketing materials and the relevant operational processes are in compliance with the Group requirements and local regulatory requirements
  • Provide advisory services to retail banking and / or support units on all relevant compliance issues and to liaise with regulators
  • Review the advertising and marketing materials, new product initiatives, incentive scheme 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
  • 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 and Talent

  • 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.
  • 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 Group’s Valued Behaviours 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 retail banking 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.
  • FSC prescribed responsibilities and Rationale for allocation.
  • Key Stakeholders

  • RB Legal and Compliance network
  • Financial Crime Risk network
  • Country compliance network
  • Respective Business and Business / Units Operational Risk Manager ( BORM / UORM )
  • Regulators
  • Peers in other banks
  • Other Responsibilities

    Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures

    Our Ideal Candidate

  • Relevant work experience in the areas of compliance in financial services
  • A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
  • Sound knowledge of rules, regulations and statutory requirements of Taiwan Financial Supervisory Commission and other regulatory bodies
  • Effective communications skills (written and spoken)
  • Strong analytical skills
  • Good interpersonal skills and a team player
  • Good judgement
  • Ability to work under pressure
  • Independence and robustness.
  • Personal authority, integrity and ethics.
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