Associate Director, Conduct and Ethics

Job Description

*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. Its 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. Were 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 ResponsibilitiesStrategy

• Work with representatives from both 1LOD and 2LOD across the Bank to drive a consistent approach to the effective supervision, control and management of conduct risks across the Bank
• Support strategic initiatives for continuous improvement of the Speaking Up programme and Conduct Risk management to enable the Bank to become a leader in managing Conduct & Ethics within the Financial Services Industry

Business

• Support and advise country, regional and business/function stakeholders (both 1LOD and 2LOD) on:
  • Embedding Conduct Risk management standards
  • Embedding the Speaking Up Policy, Standard, Programme and a positive Speaking Up culture, and
  • Discloser management where appropriate and where related to victimisation cas

• Support the identification and communication, across the Bank relevant changes in Conduct Risk management and Speaking up requirements and practices as required

Processes

• Partner with country, regional and business/function stakeholders (both 1LOD and 2LOD) to ensure standards are implemented and embedded in the 1LOD processes
• Provide subject matter expertise on Conduct Risk and Speaking Up as appropriate
• Support the delivery of strategic Conduct & Ethics initiatives to continuously improve the Speaking Up programme and Conduct Risk management
• Support the development and delivery of regular training and/or communications to country, regional and business/function stakeholders

Risk Management

• In collaboration with Risk Reporting and owners of relevant data sources, support the process to ensure the MI necessary for Conduct Risk management and Speaking Up reporting are developed to support the oversight of key Conduct Risk and Speaking Up issues and any Committee/regulatory reporting
• Identify risks and issues relating to the Speaking Up Programme and work with key stakeholders to mitigate those risks
• Collaborate with country, regional and business/function CFCC teams to ensure Conduct risks are comprehensively identified, assessed, managed, monitored and reported
• Assess risks arising from products, services, geographies and customer segments
• Support Audit/Assurance reviews taking place at region or Globally as appropriate

Governance

• Maintain awareness and understanding of the regulatory framework in which the firm operates, and the regulatory requirements and expectations relevant to the role
• Support Conduct & Ethics forum to keep abreast of risks arising from products, services, geographies and customer segments, legislative or regulatory updates or any industry trends
• Support Conduct & Ethics Advocates Programme to improving culture and behaviours across the Bank
• Support periodic review Conduct & Ethics related policies and standards (to ensure they are fit for purpose and propose changes as appropriate
• Support the reporting of key risks and issues to senior management and relevant committees
• Maintain obligation register of all the applicable regulatory requirements
• Perform Control testing on Speaking Up processes as per the OTRTF to ensure effective discharge of the role as the process owner.
• Support horizon scanning at global level of legislative or regulatory updates which may impact the Conduct Risk and Speaking Up: Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to Conduct Risk and Speaking Up
• Maintain DOI for the team

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.
• Support the Conduct & Ethics Team to achieve the outcomes set out in the Bank s Conduct Principles
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters

Key Stakeholders

• Country, regional and business/function CFCC
• Shared Investigative Services
• Employee relations
• Speaking Up Advocates
• Senior stakeholders
• 1LOD Conduct leads

Other Responsibilities

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

Our Ideal Candidate

• At least 7 years of relevant Risk management, Compliance and Speaking Up related experience

• Established understanding of risk management framework within a financial services environment
• A strong understanding of the global regulatory environment
• Strong drafting and analytical skills
• Good judgment enabling the provision of sound advice in difficult areas of law, regulation and practice and the proactive management of compliance and regulatory risk
• Personal authority, integrity, and ethics
• Independence, robustness, and resilience
• Sharp business acumen, including the ability to assess risk
• Excellent inter-personal skills, and multi-cultural awareness
• Personal authority with proven ability to establish relationships and exert influence at senior levels of the Group and with regulators and other external stakeholders
• Demonstrated understanding of organisational culture relevant to Speaking Up use in governance and tracking context (i.e., skilled, but not necessarily proficient)
• Ability to communicate clearly and concisely (written and verbal) demonstrates engaged listening skills

Apply now to join the Bank for those with big career ambitions. To view information on our benefits including our flexible working please visit our career pages . We welcome conversations on flexible working.,

Keyskills :
financeadvisorycompliancereportingcustomer relationssubject matter expertiserisk management frameworkrisk managementcontrol testingbusiness acumenhorizon scanningsenior management