Associate Director, Cfcc Governance, Assurance - Frankfurt am Main, Deutschland - Standard Chartered

Standard Chartered
Standard Chartered
Geprüftes Unternehmen
Frankfurt am Main, Deutschland

vor 1 Woche

Lena Wagner

Geschrieben von:

Lena Wagner

beBee Recruiter
Beschreibung

Job:
Governance, Risk Management & Compliance


Primary Location:
Europe & Americas-Germany-Frankfurt


Schedule:
Full-time


Employee Status:
Permanent


Posting Date: 29/Aug/2023, 4:13:23 AM


Unposting Date:
Ongoing


JOB SUMMARY

Control and Review activities (with the focus on Capital Markets Compliance)

  • Under the guidance and oversight of the Head of CFCC Governance
  • Execute riskbased Compliance Reviews and support the development and enhancement of the Compliance Assurance Program to provide second line assurance of external rules and regulations, regulatory reform initiatives, and internal requirements.
  • Perform systematic control and oversight activities to ensure the local stakeholders perform their activities related to Compliance Risk in line with documented requirements (in particular with relation to the processes where the Compliance function is the Process Owner and outsourced Compliance activities).
  • This includes working in collaboration with the relevant Risk Owners to conducts a periodic review of the underlying controls and their associated monitors to provide assurance over whether these regulatory risks are being effectively managed and are well controlled.
  • Analyse results, determine root causes for any discrepancies/findings and validate these with relevant Business Operational Risk Managers, Process Owners and Operational Risk.
  • Contribute to the reporting of findings/recommendations to relevant Risk Owners for their consideration and action.
  • Ensure compliance risks identified are mitigated appropriately.
  • Provide guidance and oversight in relation to monitoring of potential market abuse, suspicious trading activities and employee misconduct in relation to Voice Surveillance processes.

Risk Management

  • Together with Head of CFCC Governance contribute to the further development/enhancement of the overall Risk Assessment and annual Compliance Monitoring Plan to ensure that compliance risks in SCB AG are appropriately mitigated.

Other Responsibilities

  • Assist and effectively support the Head of CFCC Governance and Head of CFCC in relation to risk ownership for Compliance Risk Sub-Type(s) or Compliance processes

RESPONSIBILITIES

Strategy

  • Awareness and understanding of the Group's and SCB AG's strategies and operating models appropriate to the role.

Business

  • Awareness and understanding of the wider business, economic, market and regulatory environment in which SCB AG operates

Processes

  • Responsible for executing the Control and Review activities, and ownership for Compliance Risk Sub-Type(s) or Compliance processes

People & Talent

  • Proactive engagement with specified stakeholders within the business and the functions relevant to designated regional and business responsibilities. Responsibility for own personal development and training in line with the Banks principles and guidelines.

Risk Management

  • A thorough understanding of the risk and control environment in area of responsibility.

Governance

  • Responsible for assessing the effectiveness of the control and review arrangements of the Compliance function and, if necessary, oversee changes in this area; Awareness and understanding of the regulatory framework, in which the SCB AG operates, and the regulatory requirements and expectations relevant to the role.

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.
  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key stakeholders

  • Business and Compliance Process Owners in the EEA
  • Country CFCC Risk Owners and Operational Risk Officers in the EEA
  • Regional/ Country CFCC Heads in the EEA
  • Group Process Owners, Group Operational Risk Officers and Group Compliance Risk Owners within the designated SME business

Other Responsibilities

  • Embed Here for good and Group's brand and values; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

QUALIFICATIONS

  • At least 35 years relevant experience in Compliance (monitoring/control function) or Internal Audit in a financial institution or equivalent experience in an audit company with focus on Compliance, Risk, Internal Control Systems in the FIs
  • A clear understanding of the management of Compliance and operational risks as well as experience regarding the performance of controls and reviews.
  • Ability to work in a matrix organisation, leveraging resources across the organisation to complete deliverables.
  • The sound judgement and precision nece
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