- Permanent, Full time
- Standard Chartered Bank Singapore
- 29 Jan 18
Associate Director, Conduct Compliance
- Location: Singapore
- Salary: Negotiable
- Job Type: Full time
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We are currently looking for Associate Director, Conduct Compliance
Operating within the global Financial Markets ("FM") Compliance team based in Singapore, assist the Head of FM Conduct to ensure the bank's regulatory agenda, policies, procedures, and training are aligned to a high global standard with regard to all aspects of Conduct. The role also entails undertaking various aspects of conduct monitoring and reviews as well as driving the delivery of regulatory focused output.
Key Roles and Responsibilities
The role will sit within the FM Conduct Compliance team and will report to the Head of FM Conduct or his designee and will require the successful candidate to undertake the following key roles and responsibilities:
- Work with relevant stakeholders on various conduct themed end-to-end reviews of FM and other business lines including: Preliminary fact-finding, identifying potential issues in relation to the business, design, coordinate and execution of the assurance reviews;
- Identification of changing regulatory trends or standards relevant to the FM business and partner with relevant stakeholders across the function and the business to understand business impact;
- Driving change within the Bank's FM business to enhance policies, processes and controls to minimize compliance and regulatory risk, benchmarking against best industry practice;
- Design and deliver training and other forms of education to ensure expected standards of conduct are communicated to the relevant business staff;
- Assist in the coordination of the on-going book of work within the Bank's FM business to adequately frame the conduct risks presented and document the approach taken to mitigate those risks;
- Promote and embed a compliance culture throughout the FM business;
- Ongoing interaction and strategic insight with the global Surveillance team in relation to the broader conduct agenda.
Qualifications & Skills
- Good educational background, ideally to degree or equivalent level.
- Good knowledge of both local and global (specifically UK) rules and regulations, emerging themes and areas of increasing regulatory focus and attention - including, but not limited, to the regulatory conduct agenda
- Career experience at any of the following within the relevant jurisdiction(s): law firm, financial institution, regulator, Big 4 Accountancy Firm or compliance consultancy practice
- Excellent knowledge and/or practical experience/deep understanding of more than one FM product or business type (e.g. FX, Fixed Income, Commodities, Equities, Treasury)
- Strong appreciation of the importance of proper standards of wholesale conduct within banking business and an understanding of how to identify and frame conduct risk related issues across the business
- Excellent oral presentation skills, including a proven track record of developing and delivering regulatory focussed training materials to groups
- Ability to develop and enhance relationships across multiple stakeholders in various functional and geographic groups, including but not limited to FM business management, other Compliance functions etc.
- Excellent written English with a proven track record of drafting policy, procedural, manual or operational documentation to a very high standard. This should include tracking and managing feedback from a broad range of stakeholders and condensing into written documentation in a concise and practical written style (strong excel, word, and power point skills advantageous)
- Ability to consider matters from an end-to-end perspective, including looking at conduct related matters from the initial policy statements, more detailed procedural aspects, training requirements, assurance testing and monitoring
- Identification of potential conduct and regulatory risks facing the business, beyond the most obvious risks
- Proven executor of initiatives including leading on improving standards, culture and behaviour
- Ability to work independently, within a team and with appropriate supervision, with a desire to deliver results. Self-motivated and self-reliant with genuine desire to get things done and to do it right, as well as the ability to provide practical and effective advice. Being able to accept challenge and change, listen to the other point of view and adapt your approach accordingly is essential.
- Diplomacy, sensitivity and the ability to gently, but professionally stand your ground when needed and persuade others of the merits of a particular approach.
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