Mgr. Regulatory Ops

2 weeks ago

Kuala Lumpur, Malaysia Standard Chartered Full time

**Job***: Financial Markets

**Primary Location***: Asia-Malaysia-Bukit Jalil KL

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 24/Jan/2024, 11:33:13 PM

**Unposting Date***: Ongoing

**Role Responsibilities**

RESPONSIBILITIES
- All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
- Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
- Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, e.g. static updates.
- Timely responses to external & internal queries.
- Assist with building tactical and strategic processes and collaborate with Technology & Change teams to deliver strategic metrices.
- Ensure adherence to Process Documents including regular up-dation and execution of the same.
- Ensure robust control framework is enriched and followed by Regops team.
- Manage team work allocations and quality delivery.
- Actively participate in group Projects/changes

Strategy
- Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
- Maintain consistency of processes & MI across regulatory regimes e.g. SFTR, MIFID & EMIR etc
- Identify improvement to processes & drive delivery of change management. Have a clear picture of the day 1 delivery verses the strategic reporting to be delivered.
- Collaboration across teams, regions & time zones to meet the responsibilities of the global team.

Business
- All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
- Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
- Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, e.g. static updates.

Processes
- Work with Regulatory Operations team and passing on key messages from team discussions.
- Share knowledge gained from CRO & RM space with peers
- Active participation in driving improvement in processes and services based on gained knowledge
- Be part of the execution of the core CRO tasks.

People & Talent
- Timely responses to external & internal queries.
- Execute tactical and strategic processes in collaboration with Technology & Change teams
- Ensure adherence to Process Documents.
- Actively participate in group Projects/changes.

Risk Management
- Executes prevention, detection, Assurance & oversight processes within the reporting function.
- Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
- Evolve, improve & question processes and ensure timely escalations of issues.

Governance
- Compliance
- Regulatory Operations Management
- Front & Middle Office Teams, Operations, SCI, IDR teams

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 the Regulatory unit 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
- Compliance
Regulatory Operations Management
Front & Middle Office Teams, Operations, SCI, IDR teams

QUALIFICATIONS*
TRAINING, LICENSES, MEMBERSHIPS AND CERTIFICATIONS
- Degree in any of the following:

- Business Administration
- Accounting
- Economic
- Finance
- Statistics
- Product knowledge and booking model in structure trades and derivatives
Leadership skill
Reconciliation investigations and analytics
UAT and UVT
Microsoft Excel
Self Service Data & Report

**About Standard Chartered**

We're an international bank, nimble enough to act, big enough for impact. For more than 160 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

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