Director, Compliance, Capital Structuring & Distribution Group
- To provide Product Compliance support to Private Side Origination, Structuring & Distribution Team (consisting of Loan Origination & Syndication, Private Side Structuring, Securitisation and MTN, Bond Syndication, etc)
- To provide auxiliary support to Capital Market and Research businesses globally
- To work on a global basis with the various regional and country compliance teams to ensure coordination and strategic implementation of compliance best practices for the respective businesses
Key Roles and Responsibilities
The incumbent will be responsible for the following:
- As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group's business.
- Proactively support and challenge the Group's businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements
- Evaluate the effectiveness of the Group's compliance efforts.
- Maintain constructive and effective relationships with Business Heads / Business Chief Operating Officers ("COOs"), Senior Bankers and assist relevant Compliance heads to interface with and support all key business stakeholders.
- Provide advice to the business on transactions, new products and new businesses
- Develop, update and maintain compliance policies and procedures and manuals to ensure the continuing compliance with applicable rules and regulations.
- Stay apprised of regulatory reforms and developments, including conducting impact analyses on capital markets and research businesses and implementation, thereof
- Implement appropriate compliance infrastructure and controls
- Take appropriate action and reporting to accordance with internal procedures on the occurrence of a breach of laws or regulations.
- Supervision of training requirements, monitoring, marketing activities, licensing and desk reviews
- Develop and present training programmes on regulatory and compliance matters to business
- Interface with global product segment heads for standardization, reporting and efficiency
Qualifications and Skills
- Either a compliance officer or qualified lawyer with a background in Investment Banking, (preferably experience in Loan origination and syndication), Capital markets, and / or research experience
- Major investment banking Compliance experiences preferred
- 5- 8 years of banking industry experience
- Experience in Global regulatory issues in particular, in Asia, Middle East and / or US
- Excellent regulatory management and relationship skills
- Good knowledge of rules and regulations regarding loan, securities, derivatives, capital markets and / or research
- Strong communication skills
- Fluent English ability - Oral & written
- Strong analytical and organizational skills
- Leadership skills and management ability
How To Apply
You can search and view current opportunities across our organisation and apply immediately by visiting www.standardchartered.com and selecting Careers. To help speed up your application, please note the following:
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It usually takes 15 - 20 minutes to complete the application form; you can save your application at any time and return to complete it at your convenience.
Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.