Manager Non-Financial Regulatory Reporting COE

KEY RESPONSIBILITIES

Strategy

Client Focus

Improving the way, we operate

Improving our challenge and performance culture

Driving Innovation

Re-igniting and empowering our workforce

Business

To adhere to the regulators timelines and provide accurate reporting to regulators.

To support record keeping/ archive on all unit related activities/ work

Ensure all complaint & queries on Regulatory Returns are handled effectively and timely.

Maintain all regulatory circulars/ clarifications received from L & C and Finance where reporting is required by the unit.

To provide cost reduction suggestions which will not compromise on quality of delivery.

To manage Systems and EUCs/ ECNs relating to the unit (documentation, approvals, agreements, reviews etc to be kept up to date. (Including Regulator's systems)

Ensure compliance with the Regulatory Reporting Risk Policy/ Standards and other key Group policies.

All Regulatory breaches to be reported in the Regulatory Reporting Error log to UORM/ Compliance.

Ensure no failed audits on Regulatory Reporting.

To update DOIs periodically (at least on an annual basis).

Ensure no financial penalties/ warnings due to errors / delays on Regulatory Returns.

Processes

Ongoing review of material internal and external events against current control performance.

As the first line of defence, to comply with the applicable laws and regulatory expectations and manage the risk that arises from first line activities and comply with policies set by the Second Line of Defence.

People & Talent

Ensure behaviour consistent with the Group's values. Display Team spirit, strengthening internal relationships with no conflicts. Ensure annual self appraisals are completed and submitted on time.

Risk Management

Support Operations in enhancing the service levels without compromising Risk/ adherence to service level agreements with the other functions.

Assist in coordinating, facilitating, and promoting understanding of operational risk and in implementation and management of OR within the assigned unit.

Ensure compliance with the Regulatory Reporting Risk Policy/ Standards and other key Group policies

Gain the required knowledge and skills related to the systems used and explore /recommend possible automations to enhance service/ reduce Risk exposure.

Manage the Audit & Risk Control Standards associated with Operations.

Understand inherent Operational risks in all processes and assist to develop appropriate control systems and manage them.

Creativity in terms of proactively identifying risk and mitigating same.

Governance

Ensure compliance with the Laws of the land, implement and exercise local/ International banking regulations.

To adhere to the regulators time lines and provides accurate reporting to regulators

Ensure all complaint & queries on Regulatory Returns are handled effectively and timely

Update RR Register once the reporting is submitted in the absence of the manager.

All Regulatory breaches to be reported in the Regulatory Reporting Error log to UORM/ Compliance.

Ensure no failed audits on Regulatory Reporting

Ensure no financial penalties/ warnings due to errors / delays on Regulatory Returns

Managing risk and compliance as part of my role

Take personal responsibility for understanding the risk and compliance requirements of my role.

Understand and comply with applicable laws and regulations, the Groups policies, procedures and the Group Code of Conduct.

Effectively identify, escalate, mitigate and resolve risk and compliance matters.

Contribute to a culture in which all stakeholders feel safe to raise concerns and where risk and compliance matters are addressed, and misconduct appropriately dealt with.

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.

Lead the Risk & Controls-Operations to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.

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

Local Regulations as available in the bank policy site.

Key stakeholders

Operations

GBS Teams

Regulators

Compliance

Finance

Country OR

HR

Legal

Other Responsibilities

To identify and report all exceptions on non-compliance with standard controls

SKILLS AND EXPERIENCE

• Analytical Skills
• Computer Literacy
• Time Management Skills
• Internal negotiation skills and interpersonal skills
• Knowledge of Ops processes and procedures
• Knowledge of group policies / Local regulations, controls and procedures
• Communication, planning, problem solving and organization skills
• Experience in Ops products
• Team player
• Good behaviour with a good understanding of values of the Group

QUALIFICATIONS

Commerce Graduate

Good experience in Regulatory Reporting

Good Knowledge of group policies / Local regulations, controls and procedures

Good Knowledge of Operations processes and procedures

Good Internal negotiation skills and interpersonal skills

Experience

At least 6+ years experience in operations

Advanced Knowledge in Excel