Associate Director, Regulatory Compliance

2 weeks ago

Hanoi, Vietnam Standard Chartered Full time

**Job***: Governance, Risk Management & Compliance

**Primary Location***: Asia-Vietnam-Hanoi

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 30/Jan/2024, 10:09:58 PM

**Unposting Date***: Ongoing

**The Role Responsibilities**

The roles serve as a senior regulatory compliance risk analyst in CFCC Governance team with key responsibility for the monitoring of regulatory regulation development then cascading to relevant stakeholders for implementation to ensure the compliance with local regulations and the effectiveness of the 2LOD/1LOD’s existing controls to mitigate the regulatory compliance risk following managing regulatory change standard. Other responsibilities are to be assigned from Head CFCC Governance from time to time to align with master generalist strategy.

This is to provide support to RFOs (can be CFCC/Risk/other RFO) to manage regulatory regulations, oversight the implementation of regulatory obligation, identify areas of regulatory non-compliance so that they can further improve the controls to ensure the compliance with local and group regulations, for the avoidance of doubt, includes those risks relating to Financial Crime Risk (i.e. Anti-Money Laundering Risk, Sanctions Risk, Anti-Bribery & Corruption Risk and Fraud Risk).

**Strategy**
- Support in proactively developing regulatory relationships with regulators in Country through a structured engagement programme with consistent adherence to regulatory expectations.
- Promote the culture and practice of compliance with compliance standards (including conducting business within regulatory requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
- Support in identifying areas of high regulatory compliance risk and any mandatory reviews per regulatory requirements to ensure SCBVL’s compliance with local regulations.
- Promote the culture and practice of compliance with regulatory regulations within the Bank and embed a Here for good culture and the Group Code of Conduct.
- Assist assurance team in maintaining Compliance and FCC as well as bank wide Obligation register to ensure the Bank's operations are in line with local regulatory expectations and Group requirements.

**Business**
- Ensure that key changes (to laws, rules, regulations) are communicated and cascaded (in country), in coordination with group communications.
- In conjunction with the relevant stakeholders, analyse the impact of regulatory compliance matters on the bank and its operations.
- Take part in Anticipating, assessing and communicating key regulatory risk trends in Country for management consideration and driving the development and implementation of appropriate mitigation control measures
- Use general knowledge of business products undertaken in the jurisdiction to work with business compliance specialists to respond to regulatory questions and keeps the in-Country regulators updated on developments in the Bank’s business
- Ensure that local regulatory risks and concerns are reported and addressed to be compliant and meet local regulator’s expectations/priorities.

**Processes**
- Proactively monitor regulatory developments to manage the regulatory impact of complex regulatory matters on the Bank's business and its operations
- Set control standards and provide advice on the development of appropriate controls for the mitigation of regulatory risks.
- Assist in overseeing relevant administration and licensing and required by the in-Country regulatory requirements.
- Providing governance and oversight over the implementation of CFCC related policies and procedures in Country to ensure compliance with such policies and procedures.
- Provide advice to relevant business & functions stakeholders on compliance with Group standards & regulatory matters relating to CFCC.
- In the event of serious regulatory breaches, or where risk tolerances have been breached, assist in critical workstreams in order to ensure senior management and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased.
- Track significant issues arising from Compliance & Conduct metrics, Assurance activities, Audit reviews and regulatory inspections, providing validation of issue closure where necessary.
- Prepare and cascade lessons learned from audit findings, assurance activities and specific investigations.
- Support all control checks undertaken by Compliance & Conduct under the Operational Risk Framework (ORF).
- Implement quality assurance standards and workflows for the Compliance & Conduct processes.
- Co-ordinate/support the management of audits/exams (including both internal and external exams). This includes end to end support (e.g. Fieldwork, Data Request, Action Tracking, Issue Closure) and tracking and follow up on Compliance and FCC Issues
- Follow the spirit of the core principles for travel and expenses.

**People & Talent**
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