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OFFICER/ANALYST
JOB DESCRIPTION
Wealth Builder/ Mutual fund
• To ensure that all customer investments pertaining to wealth builder and mutual funds are treated in line with the departmental operating instruction
• Set up SI for all document archived on filenet.
• Delete SI based on the branch request via the client instruction.
• Taking of monthly commission for SI subscription for the month.
• Verify SI set up on filenet as against document received from branches.
• Ensure client confirmation of investment portfolio is being sent same day to client.
• Management of document received from the branch as against SI set up.
• Management and reporting of form A received from the branch to the Central Bank.
Fixed Income
• To ensure that all customer investments pertaining to Fixed income are treated in line with the departmental operating instruction
• Ensure necessary documentation has been provided by customer
• Review all documentation and communicate exceptions back to the maker branch/RM
• To ensure proper management of document sent from the branch.
Treasury Bill Management
• To ensure customer Treasury bill investment are monitor E2E.
• Ensure commissions are taken at the appropriate time.
• Proper filling of T Bills booked per day.
• Management of T Bills document received from the branch.
Customer Unit Holding Reconciliation.
• Ensure that GSSC performs monthly customer unit holding reconciliations with evidence to country
Diversity & Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.
SUB-REGIONAL HEAD OF LEGAL & COMPLIANCE - COMMERCIAL CLIENTS
JOB DESCRIPTION
• Sub Regional Legal & Compliance leadership of the Commercial Clients (“CC”) segment, through the development of an overall strategy across CC for delivering appropriate legal and regulatory guidance, and the establishment of an integrated programme to identify, manage, monitor, and report Legal and Compliance risk.
• Support the Group and function’s refreshed strategy, One Bank commitment and strategic aspirations, including raising the bar on conduct, promotion of global standards and demonstrating we are Here for good, with a dedicated focus on the CIC segment.
KEY ROLES & RESPONSIBILITIES
Strategy and Leadership
• Sub Regional leadership for L&C supporting CC in the region, and representation of L&C to CC business management.
• Ensure close links with the central and regional CC L&C team and regional L&C CIC team, raising relevant issues, including material transactions, conduct/fair accountability issues, people issues and business feedback. Work with the central team to deliver global initiatives to the region.
• Maintain close relationships with CC leadership in the sub region, assisting Regional Head of L&C, CC, FCC, Control Room and L&C product teams to interface with and support such stakeholders.
• Support the Regional Head of L&C and Regional Head of CIC and Products Africa in promoting, leading and managing the culture and practice of compliance with legal and compliance standards (including conducting business to high ethical principles) within CC and embed a Here for good culture and the Group Code of Conduct. This may involve assisting management of the local regulatory relationship.
• Support regional L&C CIC and Product L&C in delivering products and transactions to regional CC clients in an appropriate and compliant manner, promoting the culture and practice of global standards, while managing local requirements.
• Establish close links with your L&C segments colleagues in the region to achieve common platforms and work plans, implementing a One Bank approach to covering all Clients, particularly the Corporate & Institutional Clients segment.
• Support Heads, L&C CC in delivery of a programme to increase L&C functional awareness of business strategy, together with CC focus areas such as establishment of the regional Middle Office teams, management of cross border lending, balance sheet and capital efficiency, and client selection.
• Ensure that the tasks set out in this Job Description are performed in the region. This will involve delegation depending on how resource is split between CC Legal, CC Compliance, and potentially working with the Regional Head, L&C on allocating to other L&C colleagues. The Regional Head, L&C, CC is responsible for this process, including drafting of JDs, using this document as a framework.
People and Talent
Support the Regional Head of L&C and Regional Head of L&C, CC Africa to:
• Ensure the L&C teams supporting CC in the region are adequately resourced.
• Develop and implement strategy in the areas of resourcing, talent development, performance management, learning and development and engagement for L&C CC in the region.
• Drive the importance of global standards and lessons learned, in Africa, and across the network through the Central CC L&C team, especially in relation to compliance with relevant laws and regulations and internal policies/procedures
Business Partner and Independent Guardian
1. Business / Product Advisory
• Support the Regional Head of L&C and Regional Head of CIC and Products Africa and Regional Head CC L&C to oversee provision of tailored transactional advice by L&C teams supporting CC.
• Play an active role collaborating with FCC to manage financial crime risk, and uphold the Bank’s requirements on CDD standards and processes. Concentrate in particular on partnership to solve blockages, assess (and mitigate) client impact and improve RM behaviours.
• Take overall ownership of client documentation in the region and drive consistency of execution, including ensuring that client documentation templates used in regions align to global templates as far as possible and deviations are strictly necessary under local law, regulations or practice. Own accountability for delivery of CC client documentation, particularly for more important clients
• Take direction from Head, Legal, CC in relation to implementing global standards and initiatives, including the Bank’s position on departures from standard clauses, and applying a consistent approach to issues management
• For GC clients where the client head office and GAM are in the region, take global ownership of client documentation execution for that client.
• Support the Regional Head of L&C and Regional Head of CIC and Products Africa and regional head of L&C CC to oversee and lead LDU, driving operational efficiencies/improvements and leading second line risk control ownership of legal risk in LDU’s processes for the region.
• Support the CC centres of excellence in driving improvements to documentation processes.
• Support the Regional Head of L&C and Regional Head of CIC and Products Africa and regional head L&C CC to ensure CIC teams in the region are aware of and in compliance with current relevant laws and regulations. Ensure proactive and timely identification, assessment, advice, dissemination and implementation of evolving legal and regulatory changes/practices and associated risks across CC business teams, and proactive engagement in regulatory reform.
2. Policies & Procedures, Risk Framework and Monitoring
Support the Regional Head of L&C and Regional Head of CIC and Products Africa and Central CC L&C and regional head CC L&C to:
• Develop and implement an appropriate CC L&C risk management framework for the CC business in the region – encompassing anticipatory risk identification/mitigation, training, monitoring and advice on CC product. Horizon risk identification should be shared with the Central CC L&C team.
• Maintain (and if required, establish) effective processes to assure that Bank policies and standards are effectively across the CC business in the region.
• In collaboration with the Regional Compliance Monitoring Managers and Heads, Central CC L&C, ensure that local risks associated with the CC business in the region are reflected in Country risk assessments, with CMRs established where necessary.
• Ensure global standards are understood and implemented in CC locally, with any identified exceptions, or need for more/less stringent standards escalated to Central CC L&C for joint decision-making.
3. Issues Management and Escalation
• Maintain close links with the Regional and Country Heads of L&C in Africa, establishing mechanisms to identify the preferred level of interaction and escalation, and ensuring two way flow of information.
• In the event of regulatory or policy breaches, or where risk tolerances have been breached, within CC in the region support the Regional Head, L&C, CC to ensure Business and L&C management are informed and that actions are taken quickly to remediate and/or activities are ceased.
• Ensure close coordination with Group Legal litigation teams/GSAM for L&C related input into litigation cases concerning Commercial Clients.
QUALIFICATIONS & SKILLS
• Substantial experience in legal, compliance and regulatory risk management.
• Substantial experience in the banking industry, including demonstrated success in a similar role.
• Sharp business acumen (including ability to assess risk and appropriate levels of return), strong leadership qualities, proven record of relationship building with a spectrum of stakeholders, excellent and multi-cultural awareness and sensitivity.
• Strategic vision for the function.
• Sound understanding of the principles of financial crime Compliance, and the Bank’s AML and sanctions controls.
• Advanced leadership and management skills. Strong leadership qualities and demonstrated success in the ability to effectively manage and lead large and geographically dispersed legal and compliance teams across a complex financial institution.
• Advanced knowledge in risk identification, risk assessment, controls development, training, monitoring and reporting. Able to prioritise and manage multiple tasks in a high pressure environment.
• Technical knowledge of laws and regulations relevant to the CC business with advanced ability to analyse the same and co-relate regulatory issues to products and business models. Track record of good judgment enabling the provision of sound advice in difficult areas of law, regulation and practice and the proactive management of legal, regulatory and reputational risks.
In compliance with the National Youth Service Corps (NYSC) Act of 2004, all applicants should ensure that they have completed the mandatory NYSC programme. A discharge certificate will be required as evidence of completion of the programme. Where an exemption has been granted, a certificate of exemption will also be required
Diversity & Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.
HEAD FCC OPERATIONS AND GOVERNANCE
JOB DESCRIPTION
Purpose
The Country Head of Financial Crime Compliance Operations and Governance is to ensure that all business activities in the country have appropriate arrangements in place to meet the requirements of the Group’s FCC policies and applicable local laws and regulations, and that these arrangements are operating effectively and are in compliant with the Group and Regional standards. He/She is also to provide oversight to the management of all financial crime risks in the Country through the implementation of the financial crime control framework and to ensure escalation of such risks to relevant stakeholders and Committee.
OVERALL RESPONSIBILITIES
• Establish measures to identify suspicious activity and report to the relevant authorities locally
• Conduct quality testing for financial crime surveillance and intelligence outputs from company systems (e.g. Detica)
• Provide second line assurance to business and functional management that these capabilities are managed to industry standards
• Provide assurance to local management that AML / CFT / Sanctions risks are managed within the country
• Provide financial crime surveillance and intelligence capabilities to monitor RC, CC and C & I customers and staff for unusual activity and to escalate issues that require review or investigation
• Monitor developments in external/internal financial crime risks including trends. Develop responses and advise the business on financial crime risks and trends. Identify trends of significant fraud and money laundering through regional metrics. Coordinate MI and ensure visibility to right stakeholders
• Conduct financial crime risk assessments to identify country level risks while ensuring the execution of the Region Risk Assessment methodology in country
• Coordinate the tracking, reporting and remediation of all risk issues stemming from all regulatory examinations, internal audits, risk assessments and monitoring reviews. Ensure the development of risk mitigation action plans through relevant committees
• Provide investigation capabilities. Assist the Regional FCC investigations team in conducting significant investigations. Conduct investigations in line with the Group standards for investigations in the country / region including case management, data capture and reporting
• Ensure that any additional local requirements for FCC beyond Group standards are identified and that those additional local requirements are implemented
• Provide governance in the establishment and management of relationships with all external partners (GSSC, RFCIO or Regional FCC) aimed at optimizing business performance
• Coordinate and manage Speaking Up regulations and policies in country with assistance from Regional Head of FCC.
Leadership and Management
• Lead Anti-Bribery activities in country; form an Anti-Bribery network of business and functional representatives in country
• Develop skilled resources who can contribute to the management of FCC within the Country FCC team
• Promote and embed a compliance culture throughout the country
• Ensure there is capacity in line with the Group’s objective for the management of financial crime risks by developing and/or continuously reviewing the Bank’s procedures and systems to ensure they remain up-to-date and meet current local statutory and regulatory requirements
• Raise the profile of SCB in the country as leading the way in tackling financial crime, for example through regional focus/ benchmarking groups (ACAMS etc.) and representing SCB at country FCC forums
• Provide leadership and guidance to the Governance team by developing skilled resources within the Governance function
• Lead significant programmes of work in support of the Country and Region’s financial crime compliance objectives, for example major capability upgrades or remediation activities
Knowledge Development and Information Management
• Perform gap analysis between the Group Anti-Bribery policy and procedures and Country Requirements (laws and regulations); maintain awareness of the Groups Anti-Bribery program; training on Group Anti-Bribery policy and procedures
• Ensure provision of appropriate FCC awareness & training (i.e. SAR and financial crime trends, AML investigation outcomes, Sanctions and ABC training, lessons learnt) within country
• Prepare lessons learnt documents (from SARs & AML Investigations/examinations/reviews) and share with business advisory teams and Regional Head of FCC for cascade to other FCC teams.
• Ensure resources are equipped with the relevant skills and capabilities to execute their tasks diligently and proficiently
Stakeholders Relations
• Manage relationships with FCC Operations vendors in the country so that external spe...t support is available when required.
• Manage relationships with law enforcement, attending court cases where required.
• Coordinate of business to provide a response to local production orders, court orders and request for information from regulators or law enforcement agencies
• Coordinate with GIA to ensure adequate oversight and tracking of remediation of surveillance and investigations related audit findings in the first line
• Coordinate with Country Compliance to ensure adequate oversight and tracking of remediation of surveillance and investigations related Regulatory findings
• Attend appropriate local Risk Committees where required.
• Work closely with the Regional’s Governance function and their teams, ensuring there is a consistent message to country FCC, and dealing with country issues as they come up
• Work to establish a culture of risk awareness and proactive risk identification and assessment amongst all functions across the bank.
DIVERSITY & INCLUSION
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.
PERSONAL ASSISTANT TO THE HEAD, HUMAN RESOURCES
JOB DESCRIPTION
The role of the Personal Assistant to Head HR is crucial to the smooth management of the office HHR. The role holder will work closely with the Head, HR and the HR team by providing required support.
KEY ROLES & RESPONSIBILITIES
•General Office Management
•Arrange all internal and external meetings for the HHR and business visits to HR
•Support the HHR in the preparation of relevant Board / Regulatory papers
•Support the HHR in responding to ex-employee reference requests, introductory letters and other relevant communications.
•Receive all mails, time stamp and distribute as appropriate.
•Follow up on action points agreed at meetings
•Collate and manage the leave plan and handover process
•Act as secretary for the unit’s meetings
•Assist HHR in tracking implementation and effectiveness of HR Initiatives
•Any other assignment assigned by the HHR.
QUALIFICATIONS & SKILLS
•Minimum of a 2nd Class degree in a relevant course
•3-5 years experience in a medium sized organisation
•General high level of computer literacy
•Excellent use of Microsoft Powerpoint and Excel tools
•Good communications and interpersonal skills
•Ability to use own initiatives
•Attention to details
In compliance with the National Youth Service Corps (NYSC) Act of 2004, all applicants should ensure that they have completed the mandatory NYSC programme. A discharge certificate will be required as evidence of completion of the programme. Where an exemption has been granted, a certificate of exemption will also be required.
DIVERSITY & INCLUSION
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.
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