Associate, Compliance, Control Room

4 weeks 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**: 20/Mar/2024, 1:57:48 AM

**Unposting Date**: Ongoing

**The Role Responsibilities**

**Job Role**

The CFCC Control Room owns the Group Transactional Conflicts and Information Walls Standard (TCIW), Group Personal Account Dealing Standard (PAD), Group Outside Business Activities Standard (OBA), Group Close Financial Relationships Standard (CFR) and External Employee Connections Standard (EEC) which set out procedures for transactional conflicts clearance and employee declarations required to help the Group manage any actual, potential or perceived areas of conflicts of interest that may arise in the course of providing financial services to its Clients.

**Key Responsibilities**
- Help the Group meet its commitment of being “Here for Good” by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group’s agenda.
- Help in acting as an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business.
- Help in proactively supporting and challenging the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group’s clients.
- Assist in evaluation of the effectiveness of the Group’s compliance efforts.
- Maintain constructive and effective relationships with the relevant Business Heads, Chief Operating Officers (“COOs”), and other functional stakeholders, and assist Regional Compliance, Control Room and other relevant Compliance teams to interface with and support such stakeholders.
- Assist in challenging and highlighting transactional conflicts of interest for Global Credit Markets business teams including Financing Solutions, Financing Risk, Leveraged and Acquisition Finance (LAF), Capital Markets and other businesses of the Bank and help build effective controls in managing and escalating transactional conflicts of interests.
- Maintain independence, deliver timely responses, and escalate risks and issues on a timely basis where they feel risk management tolerance of the firm are being challenged or exceeded.

**Strategy**
- Support and implement the vision, strategy, direction and leadership for CFCC for Global Credit Markets and other businesses, consistent with the vision and strategy for the CFCC function and in support of the Bank’s strategic direction and growth aspirations.
- Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.

**Business**
- 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 regulatory compliance advice and guidance to enable the business and functions to meet / achieve their strategic tactical objectives.
- Provide robust challenge to all relevant business stakeholders where activities are outside of the 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 to provide timely compliance advice to ensure compliance with all relevant laws and regulations and policies and standards, support the transition to pro-active and pre-emptive compliance and conduct risk mitigation.

**Processes**
- Establish and maintain effective processes (including training, advice and support) to ensure that policies, procedures and standards to address compliance risks (excluding financial crime) are effectively implemented and adhered to across Global Credit Markets and other businesses.
- Provide support and challenge to the Bank’s senior management to ensure that they establish and monitor appropriate processes for compliance with compliance policies, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct).

**People and Talent**
- Good presentation skills, data analysis, analytical skills and data reporting.
- Good communication skills (written and verbal) and interpersonal skills with an ability to interact with all levels of management and staff.
- Ability to prioritize, multi-task, work under pressure and handle confidential and sensitive information in a professional mann

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