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| Compliance Monitoring Manager |
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1.Develop, maintain, and implement the Compliance Monitoring Plan for the UK PvB. Plan to developed with inputs from the Business Compliance Heads, Country Compliance Heads, and Business heads .Compliance Monitoring Plan will cover all Business and Functions(where appropriate) in PvB UK
2.Execute plan and monitor deficiencies through to improvement or mitigation To ensure the UK business is aware of upcoming changes in law and regulation, providing advice in the implementation of or changes to policies, procedures and systems.
3.Formal reports to be produced and advised to Senior Management. Escalate issues to Senior Management in accordance with methodology
4.To assist in the organisation, development and implementation of internal procedure manuals, committee and business reports and other ad hoc projects.
5.Formal report to Senior Compliance and Assurance management on progress versus plan, highlighting areas of concern, any potential slippage against the plan, and common themes resulting from output.
6.Ensure Compliance procedures and records are being maintained and include theme reviews in the annual monitoring plan
7.To perform interpretive risk based compliance reviews to obtain assurance as to compliance with regulatory requirements and Key Control Standards.
8.Assist with the ongoing Risk Assessment process under the major Compliance themes. Annual Plan and quarterly should be reviewed to take into consideration any regulatory or business changes, or areas that need to be prioritized.
9. Provide support and assurance on how the FSA¿s Treating Customer¿s Fairly standards are being consistently met across the region. |
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Bachelors
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7 years + |
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English : Speak / Write Fluently
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open-ended |
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unspecified |
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EU National |
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London Area |
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1. Comprehensive knowledge of the FSA Handbook, particularly of COBS, COLL, CASS and SYSC.
2. Familiarity with the application of COBS 9 ¿ COBS 11 to ¿retail¿ clients.
3. Familiarity with AML legislation and the JMLSG Guidance for the UK Financial Sector.
4. Familiarity with financial promotion rules and experience of approving financial promotions.
5. Experience of investment management, collective investment schemes, private banking and regulated mortgages.
6. The candidate will be a role model for integrity, initiative and commitment through interactions with colleagues and stakeholders.
7. Be able to demonstrate strong interpersonal skills, with the ability to build excellent relationships with Business Heads.
8. The position requires a dynamic and strong motivator, particularly in the context of a changing environment, and requires an individual who will be a key contributor to the firm¿s well being and culture.
Key Roles & Responsibilities
1. In addition to having an excellent understanding of UK regulatory requirements the job holder is required to be able to apply the rules in a practical manner.
2. Reliability and taking ownership will be key (e.g. monitoring and follow through on regulatory issues) together with the ability to proactively identify and prioritise risks.
3. The suitable candidate will be able to demonstrate an understanding of the need to balance commercial and regulatory risk when dealing with the Business.
4. They will be able to demonstrate strong conflict management and influencing skills and the ability to progress controversial issues with pragmatic workable solutions, and have a good knowledge of global company standards and good understanding of global regulatory requirements. |
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With a banking heritage spanning more than 150 years, Standard Chartered has developed extensive global reach and a strong position in emerging markets and new trade corridors. |
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Standard Chartered
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