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Assoc Director, Compliance Risk Assessment

5 months ago

Kuala Lumpur, Malaysia Standard Chartered Full time

**Job***: Governance, Risk Management & Compliance

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

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 04/Jul/2023, 3:29:43 AM

**Unposting Date***: Ongoing

**Role Responsibilities**
- You will support the Product Lead of Compliance Risk Assessment and work closely with the Business and Country Compliance officers globally, assisting with the delivery of the Group Compliance Risk Assessment framework requirements, local regulator expectations and requirements including reporting, policies and procedures and compliance monitoring plans, to the extent permissible in each location.
- You will interact with and develop relationships with Regional Compliance team, as well as other divisions of the bank, Operations, Finance, Technology and HR teams.
- Your strong written and verbal communication and presentation skills will be important in this role. You should also have excellent interpersonal and management skills as you will need to develop relationships and negotiate with various stakeholders, including local/ regional Compliance staff and the business. You'll be culturally aware and inclusive.

**RESPONSIBILITIES**

**Strategy**
- Assist with the continuous design, implementation and enhancement of a comprehensive Group Compliance Risk Assessment (CRA) framework across Countries and Group Business under assessment

**Business**
- Manage complex queries from Regional CRA Champions, Countries & Business CFCC and other teams
- Lead conversations with CFCC Functions & non-CFCC partners with regards to CRA developments.

**Processes**
- Read and analyse data and create visual models to present potential risk outcomes to stakeholders and for Management reporting
- Support the leadership’s efforts in guiding stakeholders as to the methodology, technical aspects and interpretation of results.
- Compilation and review of CRA relevant data and preparation of appropriate reports for senior management reporting

**People & Talent**
- Ability to work with colleagues at all levels and from different spectrums to achieve the desired outcome.
- Flair with presentation to large audience and communicating ideas clearly in a project from capacity from beginning to end with desired results

**Risk Management**
- Develop Actions for Countries/Business Conduct, Financial Crime & Compliance (CFCC) teams at the back of the CRA results and follow up with countries on the action plans created to mitigate risks as defined within the ORF.
- Lead / Participate in CFCC squads where CRA is impacted.
- Lead the Quarterly & CRA Results CFCC Country/Business CRA calls.
- Develop the Annual CRA workplan
- Develop and enhance the CRA Methodology annually
- Responsible for / Lead the GIA and First Line of Defence (1LoD) review walkthrough.

***Governance**
- Maintenance of CRA relevant documentation (i.e methodology, training records, stakeholder reports, CRA outcome action plans) for governance purposes
- Monitor actions plans as part of CRA outcome agreed with the relevant stakeholders which can include Country / Regional / Group Compliance teams.
- Act as a checker / reviewer to the CRA walkthrough deck, all Data used in the CRA Output and reports as part of the ORTF Control requirements.

**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 Risk Appetite & Analytics to achieve the outcomes set out in the Bank’s Conduct Principles and [Effective Compliance Risk Assessment] *
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

**Key stakeholders**
- CFCC Management Team
- Country & Business CFCC Teams
- Group Public & Regulatory Affairs
- Group Frameworks & Policies
- CFCC Governance
- Group Internal Audit
- Group CFCC Assurance
- Individuals with Audit or Compliance experience in Banking or other relevant experience (Risk Advisory / Risk Assessment)
- Preferably an individual with exposure to interpretation of compliance/audit/advisory-related policies, procedures, documentation etc.
- Comfortable in analysing complex suite of risk data (e.g. regulatory issues/breaches, losses, fines, audit issues/ratings, assurance reviews etc)
- Individuals with data analytic skills and experience in SAS, Python, R tools would be an added advantage.
- Minimum 8 - 12 years of relevant working experience in the financial services industry with Compliance and Audit background
- Strong understanding of audit, compliance and risk management with thorough understanding of policies and best practices of risk assessment methodologies
- Ability