About Standard Chartered We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.
To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.
We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.
The Role Responsibilities
Implementation of Group and Country Policies and Procedures
Regularly review and update policies, procedure and standards. Ensure that all Products sales platforms, scripts, licensing, documentation and system support, are complied with policies per Group requirements as well as local regulations.
Execute and follow up on gaps and action plans identified, within business and regulatory context.
Report and monitor sales processes and performances of third party/ service providers such as insurance companies and fund houses, to fine-tune and re-define service level required by Group standard and local regulations
Implementation of Governance Framework and Risk Management
Execute the key control standards (KCS), key control sample testing (KCST) and key risk indicators (KRI) within business unit.
Report and monitor losses, risk events, policy deviations, KCST & KRI exception, and engage appropriate stakeholders on timely remedial actions; escalate key risk situations that pose significant risk.
Identify new, thematic and developing risks; provide operational risk advice through ORF and ad hoc reviews (Accountability reviews, Lessons Learnt reviews, Process / Control reviews) at the unit level.
Implementation of Control to ensure proper functioning of day to day monitoring, sales assurance and surveillance
Conduct day to day monitoring, sales assurance and surveillance to sustain a stable and reliable world class sales platform and processes with zero defects.
Continuously improve and simplify Wealth Management sales process to free up RM sales capacity and improve customer experience, without sacrificing effectiveness of control.
Leverage best practices from other countries to simplify processes and ensure flawless execution and compliance.
Drive the implementation of Wealth Projects on system platforms, risk management, processes simplification & standardisation, etc.
Review sales and services processes across all Wealth products in country regularly and consistently to ensure flawless execution and compliance.
Implement effective communication and supervise trainings effort to promote risk awareness and compliance culture within Wealth Products. Ensure gaps are identified and staffs are suitably trained on product sales polices and compliance.
Collaborate with all stakeholders including support functions to ensure a coherent, seamless delivery and strong overall governance.
Implementation of Project and Change Management
Execute project and change management across all products in country regularly and consistently to ensure flawless execution and compliance.
Monitor and follow through an effective project plan and communication tool, in collaboration with key stakeholders and support functions, to ensure a coherent, seamless delivery of project plan.
Implementation of Wealth Management Infrastructure and Delivery
Coordinate and align Wealth Management systems, platforms and processes to ensure quality and consistency of delivery
Identify opportunities for process improvements based on VoC and VoF, and deliver gap resolutions
Ensure Satisfactory Audit Outcomes
Act as the business interface with Audit in country and ensure full coordination of audit activities and reporting.
Engage with all audit report findings in country and ensure feedback is acted upon.
Ensure full commitment in execution of audit action plans as per agreed timeline.
Actively perform gap analysis on audit socialisation against country processes/procedures and provide solutions to mitigate/ close gaps within agreed timeline.
Licensing Checks/ Register Maintenance
Register and reconcile licensing maintenance, and resolve immediate gaps
Update sales managers and staff on new licensing requirements as and when needed
MIS Reporting and Investigation
Produce regular and ad hoc sales and performance reports.
Alert irregular data or pattern to immediate line manager or sales team
Investigate to identify root cause and resolution and ensure timely closure of gaps.
Timely submission of all risk reports including ORF, EORP and Trade Surveillance.
Provision of Other Administrative Support
Coordinate other administrative support, such as campaign management and project administration etc.
Provide back up support for team members away on leave.
Our Ideal Candidate
Minimum a Bachelor's Degree in Banking and Finance or related fields.
Advanced knowledge and experience in compliance, risk and governance roles.
Basic knowledge in Securities / Investments / Wealth Management Products.
Competent in communication and presentation skills.
Self-motivator who is keen to upgrade, improve personal knowledge and skills to meet job requirements.
Ability to work independently.
Full compliance with internal Group requirements and external regulatory requirements
Flawless and simplified sales execution
Customer experience for Wealth Management
Wealth transactions process time
Effective project and change management
Apply now to join the Bank for those with big career ambitions.
Internal Number: 5865771
About Standard Chartered Bank
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