Manager, Sales & Suitability Surveillance
Standard Chartered
Warsaw, Poland, Americas
6 d. temu

About Standard Chartered

We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation.

This in turn helps us to provide better support to our broad client base. The Role Responsibilities

Strategy

  • As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale, and complexity of the Group’s business.
  • Business

  • Ability to exercise good judgement when facing ambiguity, and willingness to take on challenges.
  • Ability to articulate sound analysis leading to conclusion, and ability to escalate issues based on objective analysis.
  • Provide guidance to team members on clearing alerts in line with the appropriate operating procedures, as well as the relevant governing process (e.
  • g. Suitability and Appropriateness Procedures), with particular focus on suitability related issues.

  • Implement / roll-out initiatives related to PvB Suitability Surveillance.
  • Support the Process Owner for PvB Suitability Surveillance process under the Group’s Risk Management Framework.
  • Overall leadership and functional responsibility for members of the team.
  • Processes

  • Perform monitoring on the PvB sales process and investigate alerts generated from the system. Ensure compliance with the Bank’s policies and procedures and escalate any mis-selling or suitability issues detected on a timely basis.
  • Any irregularities unrelated to mis-selling / suitability should be referred to the appropriate teams for follow up.

  • Perform ad hoc investigations or deep dive into cases where warranted or requested by management.
  • Ability to evaluate and independently assess the circumstances of each case, and logically conclude based on the circumstances of the case, before proposing closure or escalation.
  • Proactively support and challenge the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and Compliance requirements and strive to achieve fair outcome for the Group’s clients.
  • Maintain good working relationships with the respective PvB Compliance in each country, as well as Front and Back office operations.
  • Risk Management

  • Support all control checks approved by Operational Risk Framework (ORF) & be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework
  • Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and / or activities are ceased.
  • 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.
  • Key Stakeholders

  • Support effective and timely communication along with collaboration cutting through functions and business
  • Other Responsibilities

  • Take personal responsibility for understanding the risk and compliance requirements of my role. Understand and comply with, in letter and spirit, all applicable laws, and regulations, including those governing anti-money laundering, terrorist financing, and sanctions;
  • the Group’s policies and procedures; and the Group Code of Conduct. Effectively and collaboratively identify, escalate, mitigate and resolve risk and compliance matters

  • Embed Here for Good’ and Group’s purpose - Driving commerce and prosperity through our unique diversity. Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
  • Our Ideal Candidate

    5 to 10 years of relevant work experience in the following areas :

  • Surveillance skills
  • Analysis skills : able to analyse data trends and out of pattern activities, working knowledge of Internet and MS Office Suite & independently assimilate, analyse, and evaluate information from disperse data sources to determine a course of action (e.
  • g. case closure or escalation), and record and communicate this decision clearly and concisely.

  • Banking : knowledge in terms of customers, products, and transactions
  • Banking operations experience and an inquisitive & service-oriented attitude
  • Excellent communication in English (articulation and writing) other languages a bonus
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