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一、Compliance Manager - (2300011663)

Job: Institutional Banking

Primary Location: Asia-China-Tianjin

Schedule: Full-time

Employee Status: Permanent

Posting Date: 16/Jun/2023, 3:55:19 PM

Unposting Date: Ongoing

The Role Responsibilities

Advisory. Advise relevant stakeholders on internal policies and external regulatory requirements as the subject matter expert on the regulatory landscape.

Compliance reviews and monitoring. Identify risk areas, conduct independent compliance reviews and manage surveillance and monitoring program of compliance functionaries including but not limited to AML, information barrier, etc.

Policy and procedure build up. Establish internal control process and formulate policies and procedures.

Regulatory reporting. Prepare regulatory forms and draft regulatory reports.

SAC license maintenance. Handle registration and on-going maintenance of SCA securities participation qualification.

Management of Employee behaviour. Monitor and manage employee conduct, including but not limited to personal account trading, outside business interest, etc.

Training. Provide necessary compliance training to staff.

Regional exposure. Support line manager with other regional compliance initiatives and represent Compliance in various firm initiatives as and when required.

Compliance projects. Assist line manager in various compliance projects.

Contributions to

The financial security and compliance of the business

The good reputation of the Company and the Group

Management of risk

Protection and enforceability of the reputation of the Company and the Group and the ability to meet legal and regulatory obligations

Development of new businesses and product lines

Regulatory and 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.

Lead to achieve the outcomes set out in the Bank’s Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.

Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key Stakeholders

Internal

Legal and Compliance network

Business product specialists

Other supporting functions 

External

Regulators

Legal officers in peer financial institutions 

Law firms

Industry Associations

Our Ideal Candidate

Pass SAC securities participation examination  

Role Specific Technical Competencies

Oral and written English and Mandarin Chinese

Knowledge of PRC Securities Law

Experience in securities issuance, capital raising, securities brokerage, securities dealing and trading, financing, asset management, derivatives, commodities, structured solutions, securities services and corporate finance

Understanding of the key features of relevant laws and regulations in the regions where relevant business is conducted

二、Director, RAM, Global Subsidiaries - (2300011708)

Job: Institutional Banking

Primary Location: Asia-China-Shanghai

Schedule: Full-time

Employee Status: Permanent

Posting Date: 16/Jun/2023, 9:27:11 AM

Unposting Date: Ongoing

JOB SUMMARY

Define key responsibilities to reflect the duties and responsibilities of this role.

The RAM is the strategic advisor/value add partner to the Client, accountable for the overall client group revenues, profitability and risk acceptance (AML, CDD and Credit).  The RAM is responsible for establishing and maintaining an end to end understanding of the client group structure and client needs and steering the client relationship through Account Planning

Summary:

Lead the origination and client relationship management for a portfolio of Global Subsidiaries Clients with RTC in China

Focus on a range of banking products and services, with emphasis on those delivering NFR

Active engagement and high level (‘c’ suite) contacts with senior executives within clients

Maintain a strong working relationship with Credit, Legal and Compliance and other key stakeholders

RESPONSIBILITIES

Strategy

Lead the development and implementation of the client strategy for the designated portfolio as identified through the Account Planning process

(i.)         Accountability for delivering financial performance objectives (revenues, costs, RoRWA, etc)

(ii.)       Accountability for all other objectives for the management and development of client relationships, specifically compliance (AML, CDD) and credit risk

Business

Actively originate new business and grow the franchise by capitalising on bank competitive attributes (eg Network, Transaction Banking etc), whilst selectively developing new relationships where required.

Engage senior management and decision makers of key clients to improve the quality of dialogue with clients, promoting a move away from ‘transactional’ reactive client coverage to consistent value added partner/trusted advisor status. Anticipate clients’ needs and provide strategic advice, bringing in the relevant product and industry partners as appropriate.

Maximise the profitable revenue to the Bank whilst maintaining focus on client outcomes, strengthening and deepening existing relationships both at the most senior level as well as at the operating level in the clients in the designated portfolio.

Professionally represent Standard Chartered within region and internationally. 

Bring strategic thought to how the corporate landscape regionally/globally is changing and where areas of international growth lie.

Ensure that industry and product knowledge is continually developed.

Stay abreast and anticipate the developments of the Industries in which our clients operate

Processes

Proactively manage the designated client portfolio to ensure:

1)         Close ties exist with key stakeholders eg. Financial Markets, Transaction Banking, Corporate Finance Risk, Country CEOs, Service Delivery, etc.

2)         Risks are appropriately identified and managed.

3)         The client portfolio is managed in compliance with the regulatory environment, keeping up to date with applicable changes and Group policies with ability to contribute to policy formulation

4)         Key regulatory risks and concerns are raised into the governance framework throughout the IC team

5)         All sales disciplines are adhered in accordance with IC/CIB standards ie Account Planning, Call Reports, Deal Pipeline Management

Develop opportunities through attendance at key Industry events as necessary.

Risk Management

Take the initiative regarding regulatory, reputational and ethical matters, taking the initiative for providing proactive advice to clients as identified. 

Ensure that key regulatory risks and concerns are raised into the governance framework throughout the Corporate teams

Governance

Responsible for assessing the effectiveness of the Group’s arrangements to deliver effective governance, oversight and controls in the business and, if necessary, oversee changes in these areas

Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role.

Responsible for delivering ‘effective governance’; capability to challenge fellow executives effectively; and willingness to work with any local regulators in an open and cooperative manner. 

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.

Lead 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

Internal:  

Engage with product partners within the region and globally to ensure breadth and depth of client coverage and deepening.

Engage with Client Managers on relevant client account management activities

Consult with senior stakeholders in Risk and Legal & Compliance to ensure that the portfolio remains credit worthy and within the policies of the bank

External:

Designated point of contact with IC clients, acting as a trusted advisor/value added partner to clients

Peers in the sector

Our Ideal Candidate

Holding a bachelor’s degree, major in Finance, Economy will be a plus

Role Specific Technical Competencies

Account Management

Business Markets

Cross-Selling

Financial Risk Management

Financial Statement Analysis

Knowledge of Customers

三、Client Solutions Officer - (2300000280)

Job: Operations

Primary Location: Asia-China-Guangzhou

Schedule: Full-time

Employee Status: Permanent

Posting Date: 16/Jun/2023, 10:58:50 AM

Unposting Date: Ongoing

Role Responsibilities 

Business

Perform day-to-day operations, such as card dispute handling/cardholder communication/ following card scheme\s timeline and internal process requirement etc RB HK S&T Financials Card Dispute related process according to DOI and relevant procedure within the risk and control framework

Execute and monitors workflow to ensure that processing/ documentation is delivered in accordance with required Standards.

Contributing ideas for improvements of processes and procedures.

Support and encourage others to practice in professional manner that reflect RB HK S&T Financials Card Dispute service quality.

Ensure to report line manager all irregular issues and potential risks at the first time.

Fully support team cross support when need. Support CN / HK business according to business requirements and team arrangement.

Processes

Ensure consistent delivery of high-quality services to customers through meeting or exceeding customer expectation guided by the Service Level Agreement, efficiency/accuracy standards and good business processes / judgment.

Network internally with colleagues to solve issue and improve efficiency.

Continue to seek improvement in team and operational process to achieve service and performance excellence.

Be a catalyst and a key team member in driving team activities.

Money Laundering Prevention

Responsible for any Money Laundering & Suspicious Transactions. Responsibilities also include the reporting of any suspicious transactions.

Ensures that appropriate internal controls are in place and operating effectively.

Ensure all staff in team are adequately trained.

Staff should follow the code of conduct strictly, ensure the client information is secured and protected from leaking.

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.

Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key Stakeholders

All Retail Banking Operations Teams

GSSC Chennai

GSSC TJ

Teleservices/ TeleSales

Branch Sales/ New Business

Branches/ Branch Ops

Different Business/ Product Teams

PSS/ Tech Team/ CTM

Human Resources

Customer Relations/ Service Quality & Re-engineering

Banking Services

Securities/ CRES

Other Responsibilities

Embed Here for good and Group’s brand and values in team,

Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Daily scanning and document handling request, staff issues and relationship building

Projects/ New initiatives, complaint handling, recruitment and staff issues, technical support, BCP discussions

Scanner and office machine maintenance

Daily Operation skills sharing

Our Ideal Candidate

Qualifications

Relevant experience in banking industry

Experience in credit card dispute is an advantage

Role Specific Competencies

Good speaking and writing in English

Fluent speaking in Mandarin and Cantonese

Good communication, problem solving and negotiation skill, able to work independent

Good computer skills including MS Word, Excel, PowerPoint, etc. 

四、Senior Officer - (2300011159)

Job: Operations

Primary Location: Asia-China-Guangzhou

Schedule: Full-time

Employee Status: Permanent

Posting Date: 14/Jun/2023, 9:40:18 PM

Unposting Date: Ongoing

The Role Responsibilities

Strategy

Wealth Management Operation Department (herein “WMO”) is at the heart of Wealth Management business and bridges various stakeholders to work as one. The department is responsible to setup the products internally, execute, clear, settle the transactions, and resolve any problems derived from above activities.

The department is also accountable to engineer and perform control processes to remediate the inherent risk in operational activities and to drive the efficiencies and digitalization at the same time.

Business

The Cash Equity team is expected to perform day-to-day tasks and its derivative jobs if applicable including but not limited to

Static Data maintenance

Security Settlement

Corporate Action.

Processes

The role is setup under “Cash Equity” team to provide operational support to Cash Equities and other listed Security trading business of HK Wealth Management.

This role is expected to perform day-to-day tasks and its derivative jobs if applicable including but not limited to

Products setup in the system

Transactions input and data maintenance

Clearing and settlement processes

Reconciliation and other control processes

Liaison with custodian for the exceptional cases

Cooperation with product managers and technology to drive projects.

People and Talent

Quick learner with proven academic record.

Being logical and analytical, good reasoning ability.

Team player and open mindset.

Good common sense.

Self-driven and diligent.

Proficient English skill.

Experience in Financial industry or banking Operations is preferred.

Entry-level coding skill (e.g. VBA or SQL) is a plus.

Regulatory and 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.

Lead to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment].

Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association.

Key Stakeholders

Onshore, custodian, external counterparty

Our Ideal Candidate

Graduation certification

Bank training; i.e. mandatory and developmental - role-specific, and regulatory / compliance bank wide and role-specific

Role Specific Technical Competencies

English

Microsoft Office(Excel, Word, PowerPoint, etc)

以上职位官方投递链接

https://scb.taleo.net/careersection/ex/moresearch.ftl?location=2705120195#