Associate Director, Retail & Wealth Management Cfcc Advisory

Associate Director, Retail & Wealth Management Cfcc Advisory

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What We Can Offer

13th payment
Premium Healthcare plan for you and your dependents
18 days full paid leave a year

Job Description

• Promote the culture and practice of compliance with CFCC 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.
• Establish close links with colleagues leading other Client segments and/or Product Groups to achieve common platforms and work plans, implementing a One Bank approach to covering all Clients.
• Input to Country Business operating model design of relevant Compliance, FCC and business processes.
• 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 CFCC 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 RB & WM 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 CFCC risk mitigation.
• Support the resolution of competing requirements between regulations specific to RB & WM 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
• Display exemplary conduct and live by the Group’s Values and Code of Conduct.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk and CFCC matters.
• Support relevant stakeholders to respond to regulatory questions.
• 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.
• Support relevant stakeholders to respond to regulatory questions
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Job Requirements

• In accordance to the Group’s Enterprise Risk Management Framework, act as second line Risk Owner for appropriate and relevant RB & WM processes.
• Collaborate with the other Products CFCC teams, Group & Regional CFCC Advisory Teams to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
• Ensure effective management of RB & WM CFCC Advisory matters, and in collaboration with the rest of the CFCC team, effectively manage regulatory issues that have a significant impact on the Group including but not limited to conflicts of interest, cross –border and onshore/offshore transactional support and control (in partnership with Cross Border (XB) and Conflict of Interest (COI) Compliance teams).
• Collaborate with relevant senior managers to support a programme for conduct, financial crime and compliance monitoring, surveillance and/or assurance for RB & WM
• In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Group and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased.
• Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform.
• Assist and work closely with the Group Shared Investigation Services team in relation to investigations concerning RB & WM.
• Liaise with the internal audit function to ensure that any CFCC weakness identified by the internal audit function relating to RB & WM activities are appropriately followed up.
• Provide reports to relevant Group and Business risk and control committees and management group on key conduct, financial crime and compliance risks and issues pertaining to RB & WM
• Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters relating to RB & WM are tracked, followed, regularly assessed and reported on, including oversight of risk acceptance and/or mitigating action plans, identification and management of high risk clients or specific country reviews relating to RB & WM .

• Provide advice on the application of risk management frameworks (e.g. ERMF).and provide advice to relevant stakeholders on outcomes of risk identification and assessment methodologies
• Maintain oversight of risk acceptance and/or mitigating action plans relating to RB & WM.
• Provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues
• Understand technical aspects of systems relevant to RB & WM
• Assess risks arising from products / segments / geographies / customers / transactions
• Ensure global standards are understood and implemented in locally, with any identified exceptions, or need for more/less stringent standards escalated to Regional Compliance for joint-decision making.
• Attend relevant leadership meetings, and provide relevant reports to senior management and governance/risk committees.
• Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework.
• Ensure appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements.
• Propose control effectiveness and efficiency improvements and simplifications where appropriate.

Job Locations

Hồ Chí Minh, Thành phố Hồ Chí Minh, Việt Nam

Standard Chartered operates in some of world’s most dynamic markets, leading the way in Asia, Africa and the Middle East. Standard Chartered aspires to be the best international bank in its markets through leading by example to be the right partner for its stakeholders. The group now employs 85,000 people, representing 129 nationalities in over 70 countries. It is committed to building a sustainable business over the long term and is trusted worldwide for upholding high standards of corporate governance, social responsibility, environmental protection and employee diversity. The Bank’s heritage and values are expressed in its brand promise, ‘Here for good’.

In Vietnam, Standard Chartered’s history can be traced back to 1904 when the Bank opened its first branch in Saigon (now Ho Chi Minh City). Following the official approval from the State Bank of Vietnam, effective 1 August 2009, Standard Chartered commenced operations in its locally incorporated entity – Standard Chartered Bank (Vietnam) Limited. Local Incorporation was an important milestone in Standard Chartered’s development in Vietnam.

Standard Chartered Bank (Vietnam) Ltd. now has Head office in Hanoi, three branches in Hanoi and Ho Chi Minh with nearly 900 staff. The Bank provides a full suite of products and services to corporates, financial institutions, small and medium enterprises and individuals.

Standard Chartered brings its international expertise and experience in other emerging markets to Vietnam, where it actively contributes to the development of the banking and finance sector in the country. The Bank also plays an active role in the Vietnamese community and has demonstrated this through many social and charitable activities.

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Over 50,000 staffs
Human Resource Department


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Học phí tối ưu, tiết kiệm nhiều nhất, thời gian đào tạo rút ngắn còn 1 năm tại Việt Nam