Head of Advisory, Capital and Listings , Group CoSec

  • Negotiable
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Standard Chartered Bank
  • 17 Apr 18 2018-04-17

Head of Advisory, Capital and Listings , Group Corporate Secretariat

We have an opportunity to join the Group Corporate Secretariat ("GCS") team as an Assistant Group Secretary with responsibility for exchange listing obligations, functional operational risk and general business / project advisory, including corporate actions and capital projects. This is a trusted advisor role to the Group Company Secretary, Deputy Group Secretary and other senior management in the provision of advice on matters within the role related to applicable corporate governance, listing rules, legal and regulatory requirements. The role will manage a small team ensuring compliance with high standards of compliance with corporate governance listing rules and other relevant laws and regulations.

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Key Responsibilities:


Provide effective leadership, supervision and oversight of the team (including matrix reports).


Provide exemplary corporate governance and corporate authorities advice in relation to all aspects of proposed corporate transactions, including acquisitions, disposals and divestments. Ensure projects are compliant with internal policies and approval processes and local laws and regulations and facilitate any requirements for Standard Chartered PLC "SCPLC") or Standard Chartered Bank ("SCB") board approvals.

* Responsible for the establishment, implementation, training and reviewing of the Group's Sources of Authority Framework to ensure that it remains fit for purpose, including Group Delegated Authority Manual, Group Authorised Signature Book and Powers of Attorney.

* Oversee and ensure compliance with all relevant regulations and the provision of all company secretarial advice, including corporate structure, authorities, and general business requests.

* Develop and build strong linkages with senior stakeholders within Group Corporate Development, Group Treasury, Group Legal and Compliance and other parts of the business. Includes the assessment and delivery of training to the relevant parties.


* Provide exemplary advice in relation to UK listings. Advice relates to the UK Listing Rules and Disclosure and Transparency Rules plus related regulation such as the Companies Act 2006 and Market Abuse Regulation.

* Close collaboration with the regional company secretariat departments in relation to the Hong Kong Listing Rules and the Indian Depository Receipt Listing Rules. This includes taking a leadership role in the implementation of any changes to Group policy or processes through the change of HK or Indian listing rules.

* Oversee the release of all stock exchange announcements, ensuring compliance with the relevant regulations.


* Effective collaboration and advice to Group Treasury on projects relating to SCPLC and SCB share capital, loan stock and debt issues, including the Group's Debt Issuance and Alternative Tier 1 Programmes.

* In conjunction with the Head of Shareholder Services, project manage any proposed new SCPLC listings of shares through corporate actions such as rights issues, placings, bonus issue and open offers.

Risk Management

* Responsible for all aspects of the Group's Operational Risk Framework ("ORF") relating to the function's policies, procedures and assurance processes.

* To support the Risk Control Owner ("RCO") in the identification, assessment and control of operational risk processes, including assurance via the GCS London and regional Obligations Registers.

* To assist the RCO in the Management of Inside Information policy and act as Secretary to the Disclosure Panel and the Group's Disclosure Committee ("GDC"). Includes building linkages with Control Room on the Insider List process and Investor Relations on the Market Soundings process, and conducting policy reviews and providing training to relevant Group functions.

* To assist the RCO in the ownership and management of Group Secretariat policies and/or procedures on Changes to Group Corporate Structure, Group Delegated Authorities Manual, Prospectus governance and Sources of Authority Framework. As set out in the Policy Governance Standards, this includes the reviewing of any changes to regulatory, internal and external environments and their impact on policies, defining policy requirements, setting policy and control standards and ensuring that adequate procedures are defined and maintained by responsible functions to support implementation of the policy.

* Act as point of contact with Group Information Security ("GIS"). Includes the facilitation of GIS training, analysis and implementation of GIS policy requirements, and working with GIS Function co-ordinator on the future needs of the GCS function.

People and Talent

* Effective management and development of direct reports, including individual performance development, objective setting and performance support in relation to the delivery of day-to-day tasks and projects, and the building of strong relationships with the wider team and encouraging team collaboration.

* Drive and stimulate an environment where forward planning, prioritization and deadline management lead to efficient work practices and streamlined functional activities and processes.

Key Stakeholders:

Group Company Secretary

Head of Group Secretariat & other senior GCS staff, including Regional Heads of Subsidiary Governance

Group Functions - particularly Group Treasury, Investor Relations and Group Corporate Development

Chairman's Office and Directorate

Group Executive Directors and Management Team

External Suppliers, including Legal Counsel


· Preferably a qualified chartered secretary (ACIS/FCIS) with expert technical knowledge and experience, ideally gained within the financial services sector.

· Experience of working within a UK listed company of substantial size and complexity with further listings overseas

· Ability to lead, empower and motivate a team

· Strong leadership and influencing skills including excellent stakeholder management skills

· A conceptual and analytical thinker

· Proven excellent organisational and forward planning skills are essential

· Possess the ability to identify and drive opportunities for continuous improvement

· Excellent attention to detail

· Excellent interpersonal and written and verbal communication skills with the ability to communicate at all levels and between different cultures

· Possess a flexible and collegiate approach with the ability to contribute to teamwork enhancement

· Ability to prioritise workload and manage deadlines

· Reliable, self-motivated and proactive

· Possess a pragmatic and common sense approach