Associate Director, CFCR Governance

• Focal point for all Regulatory interactions of specific area during onsite and off-site inspection.
• Maintain RBI relationship, monitor regulatory approvals, facilitate regulatory engagements, ensure compliance with relationship with regulators standards, build relationships with other regulators
• Maintain and track regulatory commitments
• To coordinate with RBI, seek clarification and liaise with business stakeholders, track responses and escalate as and when required.
• Ensure timelines are met for RBS submissions (Standard List of Documents)
• Support country projects (Advisor Connect, etc)
• Assist in building easy and efficient automated solution to bring efficiencies in the processes
• Maintain DOIs for the processes handled
• As the UORM for Compliance highlight the operational risk issue within compliance
• Host the monthly FORF meetings to discuss and agree action plans, discuss forward looking risks.
• Ensure timely raising of issues in M7 and Issuepoint, Breach reporting
• Send various updates to CMT /CNFRC/CRC / Region, presentation decks for senior management visits
• Update / review country addendums, local policies such as Compliance policy, Records Management policy etc
• Support in deciding Residual Risk Assessment.
• Compliance approvals for data access
• Gift and Entertainment Champion
• Business Continuity Planning SPOC

• Ensure that key changes (to regulatory laws, rules, regulations) are communicated and cascaded (in country) and is aligned with group communications where relevant.
• Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, regulations, laws, best practices and policies related to CFCC
• Finance Advisory
• Act as the Secretariat for FORF, RMCB, SCBMF and CFCRC meetings
• Group Risk Assessment (FCC)

• Develop, keep up to date and recommend for approval to the relevant Risk Committee, appropriate policies/processes/DOls to address CFCC, aligning with relevant regulatory requirements.
• Ensure the Bank is properly prepared for regulatory inspections and coordinating responses with the business.
• Providing governance and oversight over the implementation of CFCC related policies and procedures in Country to ensure compliance with such policies and procedures.

• Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
• To collaborate and build appropriate Compliance culture within the team and with Business stakeholders.

• Maintain oversight of risk mitigating action plans.
• Provide advice on the application of risk management frameworks (e.g. ORF, GRA).
• Apply Group and CFCC policies and processes to manage risks.

• Attend relevant leadership meetings.
• Provide oversight of Country CFCC function.
• Lead, Support or Influence significant programmes of work in the CFCC initiatives and projects.
• Proactively drive the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment.

• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Support relevant stakeholders to respond to regulatory questions

• Regulators, Internal Senior and other stakeholders across various functions, units and departments.

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

• Internal

• External

• Compliance Policies and Standards
• Compliance Advisory
• Compliance Review and FCC Assurance
• Surveillance (including Screening and Monitoring)
• Investigations
• Compliance Risk Assessment
• Regulatory Liaison
• Manage Change
• Manage Projects

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
• Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Standard Chartered