Senior Manager. Regulatory Ops - Kuala Lumpur, Malaysia - Standard Chartered Bank

    Standard Chartered Bank
    Standard Chartered Bank Kuala Lumpur, Malaysia

    2 weeks ago

    Standard Chartered Bank background
    Full time
    Description

    RESPONSIBILITIES

  • All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
  • Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
  • Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.
  • Timely responses to external & internal queries.
  • Assist with building tactical and strategic processes and collaborate with Technology & Change teams to deliver strategic metrices.
  • Ensure adherence to Process Documents including regular up-dation and execution of the same.
  • Ensure robust control framework is enriched and followed by Regops team.
  • Manage team work allocations and quality delivery.
  • Actively participate in group Projects/changes

    • Strategy

  • Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
  • Maintain consistency of processes & MI across regulatory regimes SFTR, MIFID &
  • Identify improvement to processes & drive delivery of change management. Have a clear picture of the day 1 delivery verses the strategic reporting to be delivered.
  • Collaboration across teams, regions & time zones to meet the responsibilities of the global team.

    • Business

  • All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
  • Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
  • Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, static updates.

    • Processes

  • Work with Regulatory Operations team and passing on key messages from team discussions.
  • Share knowledge gained from CRO & RM space with peers
  • Active participation in driving improvement in processes and services based on gained knowledge
  • Be part of the execution of the core CRO tasks.

    • People & Talent

  • Timely responses to external & internal queries.
  • Execute tactical and strategic processes in collaboration with Technology & Change teams
  • Ensure adherence to Process Documents.
  • Actively participate in group Projects/changes.

    • Risk Management

  • Executes prevention, detection, Assurance & oversight processes within the reporting function.
  • Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
  • Evolve, improve & question processes and ensure timely escalations of issues.

    • Governance

  • Compliance
  • Regulatory Operations Management
  • Front & Middle Office Teams, Operations, SCI, IDR teams

    • Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group's Values and Code of Conduct.
    Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
    Lead the Regulatory unit to achieve the outcomes set out in the Bank's Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.] *
    Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

    • Key stakeholders

  • Compliance
    Regulatory Operations Management
    Front & Middle Office Teams, Operations, SCI, IDR teams

    • QUALIFICATIONS*
    TRAINING, LICENSES, MEMBERSHIPS AND CERTIFICATIONS

  • Degree in any of the following:
  • Business Administration
  • Accounting
  • Economic
  • Finance
  • Statistics

    • Our Ideal Candidate

  • Product knowledge and booking model in structure trades and derivatives
    Leadership skill
    Reconciliation investigations and analytics
    UAT and UVT
    Microsoft Excel
    Self Service Data & Report