Director, CFCC Advisory, CPBB,

Job Description

We are looking for an experience individual who proactively support and challenge the UK PvB (Private Bank) and WM (Wealth Management) business to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fairoutcome for clients. RESPONSIBILITIES As UK PvB and WM CFCC partner, guide and assist the Business team to complete activities (product development and execution) in accordance with compliance policy and requirements.

• Support, by helping to implement the vision, strategy, direction, and leadership for UK PvB and WM CFCC team, consistent with the Global Head of CFCC, CPBB ("Global Head") and Head CFCC UK/Europe. Support of the Groups strategic direction and growth aspirations.
• Promote the culture and practice of compliance with compliance standards and the Group Code of Conduct (including conducting business within regulatory requirements, and to high ethical standards) within the Group and embed a Here for Good culture.
• Help the Group meet its commitment of being "Here for Good" by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Groups agenda.

• As an independent second line risk control function, execute the relevant aspects of the CFCC framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scaleand complexity of the Groups business.
• Promote a culture of compliance and collaboration amongst business stakeholders and with the team.
• Guide the PvB and WM product team on appropriate solutions for compliance all relevant regulatory requirements and any associated policies and procedures.
• Further the culture of compliance and collaboration amongst the CFCC function and PvB and WM Business in the UK.
• Provide robust challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to addressany remedial action needed to come back within risk tolerance/ appetite.
• Provide regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design and documentation through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities(including nature, scale and rigour of past business reviews), investigations.
• Assist the PvB and WM Business with timely regulatory compliance advice to ensure compliance with all existing & new laws and regulations and support the transition to pro-active and pre-emptive compliance and conduct risk mitigation for the PvB and WMbusiness in the UK.

Risk Management

• Assist the local Risk Owner in UK under the Groups Risk Management Framework for PvB and WM processes where CFCC is the second line Risk Owner.
• Insofar as they relate to regulatory compliance, be responsible for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur andnotifying any such breaches to UK Head CFCC, PvB and WM, Global Head CFCC, Affluent and Wealth Management.
• As an independent second line risk control function, execute the relevant aspects of the CFCC framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scaleand complexity of the Groups business.
• Ensure effective management of CFCC matters, and in collaboration with the wider CFCC teams, effectively manage regulatory issues that have a significant impact on the Group.
• Collaborate with the other CFCC teams to anticipate horizon risks that may have a significant impact on the Group and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
• In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Group and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased.

Governance

• Provide reports to relevant Group and Business risk and control committees on key CFCC risks and issues.
• Maintain adequate management MI/trackers across all aspects of coverage and responsibility to ensure all issues and matters are tracked, followed, regularly assessed and reported on.

Regulatory & Business Conduct

• Display exemplary conduct and live by the Groups Values and Code of Conduct .
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across SCB. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelinesand the Group Code of Conduct.
• Lead to achieve the outcomes set out in the Groups Conduct Principles
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

About Standard Chartered Were an international bank, nimble enough to act, big enough for impact. For more than 160 years, weve worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunitiesto grow and do better than before. If youre looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we cant wait to see the talents you canbring us. Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviors. When you work with us, youll see how we value difference and advocate inclusion.Together we:

• 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
• Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

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