Manager - Conduct & Governance

3 weeks ago

Mumbai, India Standard Chartered Bank Full time

Role Responsibilities

Be the first line of control for SCCL Conduct related matters, Be the Country Process Owner for applicable processes in the Operational Risk Framework.

Strategy

Own and manage Conduct risk in scope of Client-business, Products, Functions Effective Implementation of the Operational Risk Framework Establish OR standards/controls aligned to the Process Universe Support business in minimizing operational risks and losses, and proactive identification of risks and concerns, including escalation to all relevant stakeholders Timely mitigation of risks and resolution of issues including collaboration with all relevant stakeholder functions, and establishment of effective controls Act as coordinator for various internal/external audits/reviews and liaise with various stakeholders to ensure timely and accurate information is provided.

Leadership Capability, People and Talent

To be the source of reference within the business in facilitating/promoting the understanding of OR & Conduct requirements. Identify knowledge gaps, facilitate development of training material, and arrange relevant business training on key Conduct Risk and Governance matters. Coordinate and lead the identification, presentation and resolution of Conduct issues through entity level business risk forums (ERC) to ensure there is adequate governance, oversight and monitoring of risk. Lead through example and build the appropriate culture and values.Set appropriate tone and work in collaboration with External Partners and Internal stakeholders.

Risk Management

The incumbent will be responsible for effectively conducting risk management by understanding all the processes and risks associated with Sales / Service / Operations. The incumbent, through structured and thematic reviews will be required to highlight any potential failures that may pose risks/issues to the entity / Group, with primary focus on Conduct & Operational risks. Should proactively identify gaps in processes that could lead to Frauds in the entity & report any Frauds as per the required frequency.

Conduct Champion

To be the first line of control for Conduct related matters Demonstrate that Conduct risk is considered when making material strategic decisions that would impact various stakeholders. This includes (but not limited to) strategy reviews and approvals, delivering change management activities. Assess, monitor, manage and escalate Conduct related risks and issues to Governance Forums/Committees Collaborate with RFOs from the respective PRTs to understand the Conduct risks that have been identified, assess and form a view of the overall impact on the Conduct outcomes during the Conduct Risk Management Effectiveness Assessment (CRMEA) Set and execute risk remediation plans to formally track and mitigate identified risks Determine and embed Conduct Outcomes tagged to issues in M7. Demonstrate appropriate Conduct Risk oversight at 1LoD Conduct Governance Forums/Committees Embedding effective conduct management practices and driving ethical culture Monitoring of Mandatory Conduct Requirements (MCR) dashboard Establish an ongoing Conduct education, training and awareness programme targeting staff.

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.

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; Multiple functions (double hats)

Key stakeholders

Business Teams CFCC CDD OR GIA Process & Governance 

Our Ideal Candidate

Graduate or above Business Experience of 5 to 10 years in Process & Governance function

Role Specific Technical Competencies

Local Regulations & Processes Effective communication Information Management Problem Solving Product Experience LAP, BIL, PL and LAS Knowledge of Local Regulations Digital Knowledge Strong communication skills Effective people skills

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