Job Description
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Immediate position for Analyst, Guangzhou Compliance
Standard Chartered Bank Ltd
Mumbai, Maharashtra
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17 hours agoFull–time
Role Responsibilities
• Support the City Compliance approved person to contribute to the effective management of risks across the branch through the branch MANCO.
• The CFCC function within the branch is the independent oversight on behalf of senior management of those core processes and related policies and procedures that seek to ensure the bank is in conformity with industry-specific laws and regulations in letter and spirit, thereby helping to maintain the bank s reputation.
• Ensure the effectiveness of the management of Compliance and Regulatory Risk issues by taking branch responsibility and leadership for compliance & Regulatory Risk. Promote, lead and manage the culture and practice of Compliance to ensure the conduct of business is within the letter and spirit of regulatory requirements and meets ethical standards.
• Ensure compliance with applicable laws, regulations, internal policies, procedures and codes by establishing and maintaining frameworks within branch in order to protect the reputation of the bank and avoid significant financial loss.
• Ensure, through the maintenance of appropriate frameworks and procedures, that material compliance and regulatory risks are anticipated, identified, escalated and reported to regional head and managed to mitigate risk, financial loss and damage to reputation.
• Regular engagement to develop regulatory relationships with regulators including SAFE, PBOC, CBIRC in the city with consistent adherence to regulatory expectations.
• Provide advice to branch business & functions stakeholders on compliance with local regulatory matters relating to CFCC.
• Support delivery of Compliance and AML Risk Assessments.
• Support relevant stakeholders to respond to regulatory questions.
• Ensure the branch is properly prepared for, routine regulatory exams, audits and supervisory inspections, as well as to managing the response from related stakeholders.
• Co-ordination with other teams in the branch (e.g. CGM office, CCIB, CPBB, Ops) and / or HO functions / Business segments (e.g. Finance, Product, BORM, Risk) esp. for regulatory survey and reporting.
• Assess the compliance risks of proposed new products/service in the branch prior to launch.
• Active compliance supervision to ensure that the branch is aware of and observes both general and specific regulations that apply to their business activities. At branch level, independently summarize, document and assess the compliance risks associated with the branch business activities, consider ways to measure compliance risks and use various compliance programmes/tools to enhance compliance risk control. Assist management to identify and maintain compliance processes and procedures; identify potential compliance issues and advise on appropriate remedial action of responsible locations.
Immediate position for Analyst, Guangzhou Compliance
Standard Chartered Bank Ltd
Mumbai, Maharashtra
Apply on Shine.com
17 hours agoFull–time
Role Responsibilities
• Support the City Compliance approved person to contribute to the effective management of risks across the branch through the branch MANCO.
• The CFCC function within the branch is the independent oversight on behalf of senior management of those core processes and related policies and procedures that seek to ensure the bank is in conformity with industry-specific laws and regulations in letter and spirit, thereby helping to maintain the bank s reputation.
• Ensure the effectiveness of the management of Compliance and Regulatory Risk issues by taking branch responsibility and leadership for compliance & Regulatory Risk. Promote, lead and manage the culture and practice of Compliance to ensure the conduct of business is within the letter and spirit of regulatory requirements and meets ethical standards.
• Ensure compliance with applicable laws, regulations, internal policies, procedures and codes by establishing and maintaining frameworks within branch in order to protect the reputation of the bank and avoid significant financial loss.
• Ensure, through the maintenance of appropriate frameworks and procedures, that material compliance and regulatory risks are anticipated, identified, escalated and reported to regional head and managed to mitigate risk, financial loss and damage to reputation.
• Regular engagement to develop regulatory relationships with regulators including SAFE, PBOC, CBIRC in the city with consistent adherence to regulatory expectations.
• Provide advice to branch business & functions stakeholders on compliance with local regulatory matters relating to CFCC.
• Support delivery of Compliance and AML Risk Assessments.
• Support relevant stakeholders to respond to regulatory questions.
• Ensure the branch is properly prepared for, routine regulatory exams, audits and supervisory inspections, as well as to managing the response from related stakeholders.
• Co-ordination with other teams in the branch (e.g. CGM office, CCIB, CPBB, Ops) and / or HO functions / Business segments (e.g. Finance, Product, BORM, Risk) esp. for regulatory survey and reporting.
• Assess the compliance risks of proposed new products/service in the branch prior to launch.
• Active compliance supervision to ensure that the branch is aware of and observes both general and specific regulations that apply to their business activities. At branch level, independently summarize, document and assess the compliance risks associated with the branch business activities, consider ways to measure compliance risks and use various compliance programmes/tools to enhance compliance risk control. Assist management to identify and maintain compliance processes and procedures; identify potential compliance issues and advise on appropriate remedial action of responsible locations.
💡 Quick Summary
Seeking a career-building opportunity? The Immediate position for Analyst| Guangzhou Compliance position is now open for candidates interested in the Bank Jobs sector. This role in Mumbai offers a professional environment and growth potential.
Requirement Snapshot: Candidates should possess basic communication skills, a proactive attitude, and the ability to work in a team. Experience in Bank Jobs is a plus.