Head, Compliance, Financial Crime & Conduct Risk, Wealth and Affluent, Hong Kong

Standard Chartered

  • 觀塘區觀塘
  • 長期
  • 全職
  • 21天前
About Standard CharteredWe're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.Together we:
  • Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
  • Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
  • Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
JOB SUMMARYManaging and leading the CFCR Wealth and Affluent Advisory team, aligning this to the vision and strategy of the function, the Enterprise Risk Management Framework (ERMF), and delegation of authority documents where relevant.Responsible for the implementation of Compliance, Conduct and FCC policies and procedures for Wealth and Affluent processes to the extent the processes have been identified as owned by the CFCR function, in line with the Group’s process universe as set out in the Group Operational Risk Framework, including activities within the processes owned by the CFCR function which are hubbed or outsourced. Insofar as they relate to compliance, financial crime and conduct risk, responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to internal stakeholders and regulators if applicable.RESPONSIBILITIES
  • Develop a comprehensive understanding of the business model and strategy in order to provide substantive oversight support and challenge in order to enable appropriate and sustainable CFCR outcomes.
  • Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality conduct, financial crime & compliance-related advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.
  • Provide advice, analysis (and challenge when appropriate) in relation to the Wealth and Affluent including product design, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), and transactional advice.
  • Provide robust challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance/ appetite.
  • Work closely with the business and its operational teams to provide timely advice to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive CFCR risk mitigation.
  • Support the resolution of competing requirements between regulations specific to Wealth and Affluent businesses (i.e. between AML regulations and data privacy/bank secrecy or information security regulations.)
  • Establish and maintain risk-based compliance frameworks and a programme for monitoring and assuring compliance that supports the transition to pro-active and pre-emptive compliance and conduct risk mitigation.
  • Promoting the culture and practice of global standards to the business, while managing local requirements
  • Maintain workplans specific to CFCR advisory projects/ initiatives, and communicate the same to stakeholders in a regular, timely fashion to inform and seek inputs.
  • Review new business requirements and provide solutions where required
  • Lead to achieve the outcomes set out in the Bank’s Conduct Principles
Qualifications
  • Proven track record in leading a diverse team of compliance professionals. Work experience in Hong Kong Private Bank and / or Wealth Management is preferred. Tertiary degree holder in a relevant field (e.g. finance, accounting, financial engineering, economics).
  • Be well-versed in the relevant regulations and regulatory expectations in Hong Kong.
  • Good judgment enabling the provision of sound advice in difficult areas of regulation and practice and the proactive management of compliance and regulatory risk.
  • Must possess strong leadership qualities, excellent interpersonal skills and multi-cultural awareness and sensitivity.
  • Ability to manage and give leadership to business and functional stakeholders.
  • Sound judgment on business practices, regulatory relationship management and reputational risk.
  • Personal authority and integrity with proven ability to establish relationships and exert influence at the most senior levels of the Country and with regulators and other external stakeholders.
  • Be able to operate independently, and demonstrate robustness in ethics and resilience.
Role Specific Technical Competencies
  • CFCC Policies and Standards
  • Industry Knowledge
  • Managing Change
  • Process Improvement
  • Relationship Management
  • Risk Assessment
  • Risk Management
  • Regulatory Affairs and Regulatory Change Management
  • Cross-functional Collaboration
What we offerIn line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
  • Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
  • Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
  • Flexible working options based around home and office locations, with flexible working patterns.
  • Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
  • A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
  • Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.
www.sc.com/careerApply now to join the Bank for those with big career ambitions.

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