Specialist, Fraud Compliance Control and Regulatory Reporting

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.


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

Processes

• 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.
• Proactively monitor regulatory developments to manage the regulatory impact of complex regulatory matters on the Bank's business and its operations
• Provide guidance on the proper application and interpretation of banking laws, regulations and policies applicable in Country.
• 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.
• 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 CFCC 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 CFCC under the Operational Risk Framework (ORF).
• Implement quality assurance standards and workflows for the CFCC processes.
• Co-ordinate/support the management of audits/exams.

People and 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.

Risk Management

• Maintain oversight of risk mitigating action plans.
• Provide advice on the application of risk management frameworks (e.g. ORF, GRA).
• Apply Group and CFCC policies and processes to manage risks.
• Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identified risks and/or findings of concerns from investigations.
• Conduct country risk assessment.
• Map risks, quantify the potential impact and escalate where necessary.
• Support delivery of annual Global Compliance, AML, ABC and Sanctions Risk Assessments.
• Provide intelligence inputs to support calibration of bank's Risk Methodologies (including aggregate client risk, product risk and country risk assessments).
• Oversee the review and analysis of the client base to identify and manage high risk clients, or specific country reviews.
• Ensure the Bank is properly prepared for, routine regulatory exams, audits and supervisory inspections, as well as to managing the response from the business.
• Monitor metrics and/or key risk indicators (KRI) for CFCC.
• Support/Coordinate key change programmes and projects for Country CFCC
• Maintain workplans specific to Country CFCC projects/ initiatives, and communicate the same to stakeholders in a regular, timely fashion to inform and seek inputs.
• Drive and stimulate an environment where forward planning, prioritisation and deadline management lead to efficient work practices and streamlined functional activities and processes.
• Manage and protect business as usual (BAU) capability during change programme, as well as during the execution and delivery of the Remediation initiatives through project phase into BAU


Governance


• Periodic reporting and timely escalation of significant risks and issues arising from CFCC Monitoring and Assurance activities.
• Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework.
• Collate, analyse and interpret data in reports to senior management and relevant governance/risk committees.
• Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and thus drive remediation action within the CFCC function.
• Participate in significant programmes of work in support of the CFCC initiatives and projects.
• Proactively drive the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment

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.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Support relevant stakeholders to respond to regulatory questions

- BSc in Legal / Auditing or relevant
- At least 5-7 years of experience in Legal / Compliance practice with strong background in banking industry
- Fluent in both English and Vietnamese
- Strong communication and problem solving skill.
- Active and strong dealing skill.
- Fast adaptability and eager to learn.
- Curiosity and open minded.

- International Environment

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