Regulatory Compliance Specialist

3 weeks ago

Hà Nội, Vietnam Standard Chartered Full time

**Job Summary**
- The roles serve primarily as a regulatory compliance risk specialist in CFCC Governance team with key responsibility for support in 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 and supporting in other CFCC governance tasks, but not limited to oversight and monitoring, logistic arrangement, administrative tasks, liaise with regulator and external stakehoders. Other responsibilities are to be assigned from Chief Compliance Officer and Head CFCC Governance from time to time.**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.

**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

**Key Responsibilities**
- Processes*- Support CFCC Governance team in 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.
- Proactively monitor regulatory developments to manage the regulatory impact of complex regulatory matters on the Bank's business and its operations
- Assist in setting 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.
- 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 CFCC 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*
- Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
- Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm
- Take responsibility for own personal development and complete all mandatory training as required in line with the Banks principles and guidelines.
- Lead through example and build the appropriate culture and values

**Skills and Experience**

**Risk Management**
- Maintain oversight of regulatory regulation gap risk mitigating action plans.
- Conduct country risk assessment.
- Monitor metrics and/or key risk indicators (KRI) for Compliance & Conduct.
- Support/Coordinate key change programmes and projects for Country Compliance & Conduct
- Maintain workplans specific to Country Compliance projects/ initiatives, and communicate the same to stakeholders in a r

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