Director, Compliance Review - Conduct, AME

Job description / Role

Purpose:
* To implement the Group Conduct Framework for Conduct Compliance Reviews scheduled across AME;
* To collaborate with the Director, Compliance Review, ME and Principal, Compliance Review, Africa to formulate a relevant and inclusive Regional Compliance Review schedule on an annual basis, that is appropriate for AME insofar as Conduct is concerned;
* To deliver the planned Conduct Compliance Reviews for AME effectively and in a timely manner;
* To execute the Conduct Compliance Reviews in accordance with the Group Conduct Framework - such as issuance of terms of reference, conducting of fieldwork, and drafting of findings and reports;
* To instill discipline to ensure that significant issues identified during the course of reviews are properly escalated - "no surprises"; all identified issues are duly tracked, monitored and remediated timely;
* To provide periodic Compliance Review progress summary (i.e. issues highlights and trends, issues require management attention and discussion, etc), to the relevant Governance Committee(s) within AME accordingly - to ensure sufficient level of Regional / Country management team involvement;
* To provide Regional leadership and work in collaboration with Country Compliance Teams to adequately support the Conduct Compliance Review activities across AME;
* To collaborate closely with the other pillars of Compliance Assurance (i.e. MI & Data Management, Compliance Risk Management, Process & Control).

Key Roles and Responsibilities

Execution
* Facilitate to formulate the annual Conduct Compliance Reviews schedule for AME;
* Deliver the Conduct Compliance Review schedule that has been committed to for AME;
* Embed the process of robust Conduct Compliance Reviews, paying particular focus on Executive Summaries, issue trends, and covering emails to stakeholders.
* Play an active role in the Regional Head of Compliance team meetings, ensuring that the Conduct Compliance Reviews attract due attention from such forums;

Contribution
* Support the AME Regional Compliance Leadership Team to deliver on the Group Conduct Framework agenda and priorities;
* Provide a local source of expertise and technical guidance to support the businesses in the management of their conduct responsibilities.
* Collaborate with other members of the Reviews Team to ensure that Conduct issues are appropriately identified and monitored across thematic reviews

Conduct Compliance Review Management
* Review requests for additions, deferrals and cancellations of planned Conduct Compliance Reviews, as well as extensions of remedial action plans;
* Ensure that Compliance Reviews are carried out in accordance with Group Compliance's standards and requirements
* Active management and participation in Conduct Compliance Review activities (including fieldwork) across AME.

Engagement & Stakeholder Management
* Delivery of consistent communications on Conduct Compliance Review priorities and thematic findings in AME and across the network to Business Heads, Business Chief Operating Officers, Chief Executive Officers, Management Groups, AME Regional Compliance Leadership Team and the AME Country Compliance Teams
* Visit AME countries, where necessary, to proactively engage relevant stakeholders to ensure that Conduct Compliance Review activities in AME are aligned with business direction and in accordance with Group Compliance Review strategies and agenda together with the Group Conduct Framework.
* Work closely with the other pillars of Compliance Assurance (i.e. Group Compliance Conduct teams, MI & Data Management, Compliance Risk Management, Process & Control and Quality Assurance and Performance).

Best Practice
* Identify best practices on Compliance Review activities for implementation to continually the quality of Conduct Compliance Reviews across AME.

Requirements

* Sound knowledge of Conduct, Compliance and Regulatory matters; with a minimum of 8 years of relevant banking, compliance and/or audit-related experiences;
* Strong Leadership, Strategic Thinking and Analytical capabilities
* Excellent Communication and Report Writing skills;
* Ability to influence and work collaboratively with colleagues across Compliance (i.e. Business, Regional and Country), Operational Risk, Internal Audit, and other respective Business and Group Functions towards problem solving;
* Retail, Private Banking, Wealth Management experience would be advantageous;
* Discipline towards Planning, Execution and Delivery within required timelines;
* Team Player and team-oriented;
* Able to guide and motivate colleagues to achieve deliverables and desired outcomes.
* Relevant experience across the AME region
* Experience in Conduct related matters advantageous

About the Company

Standard Chartered Bank started in 1958 in UAE with its first branch in Sharjah. The Group’s business gradually increased in Dubai with the opening of several branches and today, Dubai is the administrative hub of the Middle East and South Asia Region. In its 43rd year, the Bank enjoys the position of having the most extensive branch network among foreign international banks in UAE with 10 branches emirate-wide.

Standard Chartered is an international bank, focused on the established and emerging markets of Asia, Africa, the Middle East and Latin America with an extensive global network of more than 600 offices in over 50 countries. The three principal business groups are Global Markets, Personal Banking and Corporate and Institutional Banking.

In UAE, we are one of the leading banks, offering an extensive range of products and services for personal customers, local companies, multinational corporate and financial institutions.