Specialist, Regulatory Compliance - Frankfurt am Main, Deutschland - Standard Chartered

Standard Chartered
Standard Chartered
Geprüftes Unternehmen
Frankfurt am Main, Deutschland

vor 2 Wochen

Lena Wagner

Geschrieben von:

Lena Wagner

beBee Recruiter
Beschreibung

Job:
Compliance


Primary Location:
Europe & Americas-Germany-Frankfurt


Schedule:
Full-time


Employee Status:
Permanent


Posting Date: 21/Apr/2023, 5:09:47 AM


Unposting Date:
Ongoing


The Role Responsibilities

  • To support the MaRisk Compliance function (AT MaRisk) as the senior member of staff ensure the comprehensive tracking and disseminating of relevant laws and regulation applicable to SCB AG as well as support the maintenance of the Obligations Register according to the respective Standard and DOI under the supervision of the Head of CFCC Governance.
  • To monitor, screen and assess all existing, upcoming, new and amended laws, regulation, rules and requirements (incl. circulars, guidelines and best practice/ market standards).
  • To provide advice on upcoming regulation in a timely manner.
  • To provide compliance advice, support and oversight to the businesses and the functions in Germany and, as appropriate, in the EEA with respect to all relevant regulatory and supervisory requirements as outlined above.
  • Under the direction of the Head of CFCC Governance:
  • assist in the provision of Compliance training to German staff and other countries if necessary;
- assist in the review, drafting and implementation/ roll out of written documentation (i.e. policies and standards, etc.);
- ensure compliance of all policies, standards and manuals with applicable German laws and regulation;
- assist in identification and the analysis of new regulatory initiatives to ensure all material matters are considered and any necessary procedures are implemented, including providing training to relevant staff;
- development of relationships and regular liaison with ORMs and other operational risk functions and product development teams to ensure that Compliance are aware of all material developments;
- provide Compliance advise to all queries from other stakeholders of SCB and the Group with respect to German regulation and other applicable requirements;
- assist in designing and implementation of control standards for all relevant processes and activities in order to ensure overall Compliance of SCB AG with applicable laws and regulation;
- assists in relevant testing and quality assurance work as well as monitoring activities as first line and second line of defence under the ORF/ ERMF (as far as deemed necessary);
- assisting the Head of CFCC regarding any regulatory queries and/ or investigations, audits/reviews (both, internally or externally) and in the completion or resolution of related matters;
- assist in audit remediation tasks;
- assist in any regulatory communication.


Risk Management

  • Ensuring Second Line oversight and challenge responsibility in terms of Compliance Risk Sub-Types or assigned Compliance (granular) Risk Sub-Types
  • Together with Head of Governance contribute to the development and performing of the overall Risk Assessment and annual Compliance Monitoring Plan to ensure that compliance risks in SCB AG are appropriately mitigated.
  • Identifying and measuring Compliance risks to be able to assess the impact and likelihood of a particular risk materializing.

Review and assurance activities

  • Conduct where needed systematic control testing in accordance with CCA methodology to ensure the local stakeholders perform their activities related to Regulatory Change Management in line with documented requirements.
  • This includes working in collaboration with the relevant Risk or Process Owners to conduct a periodic review to provide assurance over whether lower regulatory risks are being effectively managed and are well controlled.
  • Provide support of execution of the riskbased Compliance Review and Assurance activities under the guidance and oversight of the Head of Governance and support the development and enhancement of the Compliance Review/Assurance Program to provide second line assurance of external rules and regulations, regulatory reform initiatives, and internal Compliance Policy & Procedure requirements.
  • Participate in the analysis of issues identified and contribute to the reporting of findings/recommendations to relevant Compliance Risk Owners for their consideration and action.

Responsibilities

  • Maintain a thorough understanding of legislative and regulatory developments as relevant for the areas of responsibilities to fulfil the role in an adequate manner (e.g. through trainings, workshops, networking etc.) and ensure timely implementation by the relevant departments.
  • Inform and advise the bank and the relevant stakeholders of their obligations pursuant to applicable local laws and regulations.
  • Provide advice to all stakeholders in SCB AG on prudential requirements, in particular CRR, KWG/ MaRisk and other governance and prudential requirements as well as other relevant material requirements.
  • Support supervisory audits and authority requests.
  • Monitor compliance with regulatory requirements as necessary for your area of
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