Dir,cfcc,client&market Cond.framework&policies

2 weeks ago

London, United Kingdom Standard Chartered Full time

**Job***: Compliance

**Primary Location***: Europe & Americas-United Kingdom-London

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 21/Apr/2023, 5:37:31 AM

**Unposting Date***: 05/May/2023, 5:59:00 PM

**Role Responsibilities**
**Purpose**
- This is a newly created role in 2023 for a Director within Conduct, Financial Crime and Compliance (CFCC) in the Framework and Policies informing Market Conduct and Client Conduct Compliance Risk Subtypes (CRST). This role will report to the Executive Director Conduct, Financial Crime & Compliance (CFCC), Client and Market Conduct Framework and Policies.

**Strategy**
- Facilitate activities required for the remediation programme to address the identified gaps in the two CRST’s.
- Support the CRST Owners in providing oversight of the overall Client conduct and Market Conduct Framework, Policy and its underlying Standard implementation effectiveness.
- Provide the support on oversight and governance on the Policies and Standards scoped under the two CRST’s.
- Continuously work towards enhancing end to end Client and Market conduct frameworks by driving greater first line ownership of the risks and its control environment to managing these risks.
- Support the embedding of Client and Market conduct considerations within First Line processes in decision making and day to day activities to further strengthen risk culture.
- Support the defining of policy and standard level MI requirements for oversight and monitoring.
- Central maintenance of a register / inventory of compliance and regulatory risks arising from Client and Market Conduct and analyse the comprehensive impact of regulatory obligations on the Bank’s business area and its operations.
- Central coordination and maintenance of policy and procedural materials in relation to Market and Client conduct through to their embedding in BAU business and functions.
- Support Regional and Country Compliance teams in their liaison with regulators for Market and Client conduct related matters.
- Central co-ordination and preparation of Market and Client Conduct risk reporting to senior management and key stakeholders (Internal/External).
- Preparation of committees and forum papers to provide timely escalation of Market and Client conduct risks and issues to senior management.
- Central coordination of the preparation and delivery of training and educational materials in relation to Client Conduct and Market Conduct risk management.

**Business**
- Support and implement the mission, vision, strategy, and leadership for the ED, CFCC, Client and Market Conduct Framework and Policies consistent with the Management’s strategy for the Compliance function and in support of the Group’s strategic direction and growth aspirations.
- Support audit or assurance related activities by ensuring timely and quality information/evidence is provided when requested and to ensure audit findings are adequately managed and addressed to the point of completion.

**Processes**
- Support the ED, CFCC, Client and Market Conduct Framework and Policies to establish and maintain effective processes (including training, advice, and support, where necessary) to ensure that policies, standards and processes to address Client and Market Conduct risks (excluding financial crime) are effectively implemented and adhered to across the Group.
- Provide support and challenge to the Group’s management to ensure that they establish and monitor appropriate processes in accordance with Compliance’s policies, standards and processes (including meeting regulatory obligations and maintaining high standards of conduct).

**People & Talent**
- Lead through example and build the appropriate culture and values. Set appropriate tone and expectations within the team and work in collaboration with risk and control partners.
- Demonstrate the appropriate culture and values consistent with expectations of ED, CFCC, Client and Market Conduct Framework and Policies Set appropriate tone and expectations in collaboration with risk and control partners.
- Contribute to instilling an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
- Support the agenda of, and engagement within, the CFCC teams supporting Client Conduct and Market Conduct CRSTs, and promote adherence to the stakeholder map, ensuring efficient alignment of business and function.
- Collaborate with training teams to input into training curriculum to support closing of capability gaps and to meet the training needs of Client Conduct and Market Conduct CRSTs.

**Risk Management**
- In the event of serious regulatory breaches, or where risk tolerances have been breached, support the ED, CFCC, Client and Market Conduct Framework and Policies to ensure relevant management and regulators are informed and that actions are taken quickly to remediate a

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