Associate Director, CFCC Testing %26 QA

Associate Director, CFCC Testing %26 QA

Standard Chartered
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Job Description

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
The role serves as an Independent Compliance Testing & Quality Assurance reviewer and is responsible for the assessment of the compliance with local regulations and the effectiveness of the 2nd Line of Defence (&ldquo2LoD&rdquo) controls to mitigate the regulatory compliance risk.

  • Conduct Compliance Testing of key regulatory requirements and Quality Assurance checks for compliance processes in accordance with the testing/ QA methodology.

  • Manage all scoping and conduct the testing either under the supervision of a team lead or directly.

  • Ensure that all work papers required for the reviews are completed to required quality standards.

  • When assigned to lead a Review, ensure that completed reviews are correctly closed, and that all documentation is correctly filed, as required by the Methodology.

  • As required by the Methodology track issues throughout the issue lifecycle, capture and track the issue data in the Issue tracker and report regulatory breach in Issue Point.

  • Work with the Business / Functions teams to identify and propose control enhancements and/or simplifications where appropriate.

Regulatory & Business Conduct

  • Display exemplary conduct and live by the Group&rsquos Values and Group Code of Conduct.

  • Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across the Bank. This includes understanding and ensuring compliance
    with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.

  • Support Country Head of CFCC in achieving the outcomes set out in the Bank&rsquos Conduct Principles: Fair Outcomes for Clients Effective Financial Markets Financial Crime ComplianceThe Right Environment.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key Stakeholders

  • Business Heads/Functional Heads for relevant reviews.

  • Country Risk & Compliance teams.

  • Internal Audit team.

  • Regional and Group Compliance and Assurance Team.

  • Senior Management and Country Management Team.


  • Minimum Bachelor&rsquos degree or equivalent required.

  • Auditing, Risk Management, Compliance background would be ideal.

  • Good knowledge of Compliance, laws, rules, regulatory requirements, including recent regulatory reforms.

  • Strong interpersonal skills with ability to work collaboratively and people at all level of the organization.

  • Strong organization skills.

  • Proficiency with Microsoft Office Applications (Excel, Word, PowerPoint&hellip)

  • Excellent verbal and written communication skills

  • Comprehensive knowledge of banking and investment product across client segments

  • Strong team player

Apply now to join the Bank for those with big career ambitions.
To view information on our benefits including our flexible working please visit our . We welcome conversations on flexible working.

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