Associate Principal, Cfcc Advisory

2 weeks ago

Johannesburg, South Africa Standard Chartered Full time

**Job***: Compliance

**Primary Location***: Africa & Middle East-South Africa-Johannesburg

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 25/May/2023, 1:12:53 AM

**Unposting Date***: 08/Jun/2023, 5:59:00 PM

**JOB SUMMARY**
- The Associate Principal, CFCC Advisory CCIB, South & Southern Africa is responsible for supporting the Head, CFCC Advisory CCIB, South & Southern Africa in managing all regulatory, conduct, financial crime and compliance risks relating to the CCIB risks in Country and Cluster, and aligning this to the vision and strategy of the function, the Enterprise Risk Management Framework (ERMF), and delegation of authority documents where relevant.

**RESPONSIBILITIES**:
**Strategy**:

- Assist the Head, CFCC, South & Southern Africa to set and implement the vision, strategy, direction and leadership for CFCC Advisory CCIB in South & Southern Africa, consistent with the Head, CFCC Advisory CCIB, South & Southern Africa, AME and Global Head, CFCC Advisory, vision and strategy for the CFCC function, and in support of the Bank’s strategic direction and growth aspirations.
- Support the Head, CFCC, South & Southern Africa to promote the culture and practice of compliance with CFCC 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.
- Input to CCIB business operating model design of relevant Compliance, FCC and business processes.

**Business**:

- Develop a comprehensive understanding of the CCIB business models and strategy in order to assist in providing oversight support and challenge in order to enable appropriate and sustainable CFCC outcomes.
- Build and maintain an effective and constructive relationship with all key business and functional stakeholders that is based on trust, capability and integrity, providing timely, responsive and quality conduct, financial crime & compliance-related advice and guidance to enable the business and functions to meet/ achieve their strategic tactical objectives.
- Provide conduct, financial crime and compliance-related advice, analysis (and challenge when appropriate) in relation to CCIB businesses, including compliance with relevant Group CFCC standards (including, but not limited to, EAF, Transactional Conflict and Information Walls, Client Classification, G&E, AML/Sanctions and ABC), product governance, product design, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), client and transactional advice.
- Provide robust challenge to senior management and all relevant business stakeholders where activities are outside risk tolerance/ appetite, escalating as necessary, until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance/ appetite.
- Work closely with the business and its operational teams to provide timely advice to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive CFCC risk mitigation.
- Support the resolution of competing requirements between regulations specific to CCIB businesses (i.e. between AML regulations and data privacy/bank secrecy or information security regulations.)
- Support the Head, CFCC, South & Southern Africa, to establish and maintain risk-based compliance frameworks and the programme for monitoring and assuring compliance that supports the transition to pro-active and pre-emptive compliance and conduct risk mitigation, in relation to the CCIB businesses.
- Promoting the culture and practice of global standards to the business, while managing local requirements.

**Processes**:

- Act under delegation from the respective Risk Framework Owners for the principal risk types of Compliance, Conduct and FCC in discharging the responsibilities contained in the ERMF relating to CCIB businesses to the extent that CFCC Advisory, CCIB is the appropriate second line risk owner.
- The role holder is not responsible for CFCC first line processes unless specifically delegated by and/or agreed with the group process owner. This includes CFCC processes operated to manage risks in CCIB businesses such as name screening or transaction monitoring.
- The role holder is not responsible to ensure that CCIB and CFCC process owners agree their respective handoffs, which ought to be documented in a service level agreement. However, consistent with the CFCC advisory second line responsibilites under the ERMF, the role holder is responsible to ensure that in the absence of an agreement or if responsibiilties are poorly executed, the risks inherent in CCIB businesses are addressed in line with the ERMF.
- Support and maintain effective policies/processes/DOIs (including training, advice and support) to address conduct, financial crime and compliance risks across

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