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15 أبريل 2015
Head of Compliance DIFC amp Head of Compliance NonPresence Countries MENA
Job Description
The role holder is the registered compliance officer and money laundering reporting officer for Standard Chartered Bank SCB Dubai International Financial Centre DIFC with the Dubai Financial Services Authority DFSA.
Provide team leadership and have responsibility for and oversight of the management of regulatory and product risks in SCB DIFC and provide advice to ensure that the business is meeting the bank's and the DFSA's expectations.
To work closely with the Business Compliance Officers in the region to understand regulatory product risks within those business in the DIFC and non presence countries and when required partner with Business Compliance to provide advice and assurance to ensure that the bank is meeting the relevant Regulators' expectations.
To work closely and coordinate effectively with the Financial Crime Risk FCR team in relation to Money Laudering Reporting Officer MLRO responsibilities.
To proactively develop regulatory relationships with the DFSA through a structured engagement programme and consistent adherence to regulatory expectations.
Responsible for overseeing SCB DIFC Branch management of its regulatory and reputational risk from the perspective of the DIFC and the SCB footprint in non presence countries
Key Roles amp Responsibilities
DIFC compliance officer
Act and be registered as the DIFC compliance officer and money laundering reporting officer for SCB DIFC.
Maintain a strong and proactive relationship with the DFSA including maintaining the regulatory relationship plan.
Provide proactive monitoring and oversight of the DIFC branch activities and businesses and to ensure SCB DIFC is meeting the requirements of the DFSA rules and regulation.
Support DIFC Senior Executive Officer in the increased governance requirements in the DIFC including attending the DIFC Country Management Committee MANCO UAE Country Operational Risk Committe CORC maintaining a DIFC regulatory compliance issuesrisk register monitoring location of individuals within the DIFC.
Monitor changesdevelopments in DIFCDFSA lawregulation and cascade to business and to coordinate lobbyingthought leadership efforts with the DFSA.
Perform the responsibilities of the DFSA and DIFC Money Laundering Prevention regulation in close coordination with the UAE FCR team
Support private bank in DFSA regulatory matters.
Deal with nonroutine correspondence to the DFSA e.g. product approvals notifications licence applicationsvariations.
Partnership with Business Compliance for DIFC
Act as the point of contact between Business compliance MENA and DIFC Country Compliance with respect to the DIFC.
In close partnership with Business Compliance to provide advice to business on regulatory compliance queries affecting the DIFC businesses including advice on local regulations and GroupBusiness compliance policies.
Work closely with the business compliance productfunctional specialists including private banking compliance financial markets compliance transaction banking compliance private side compliance control room and FCR to ensure that integrated and consistent advice is delivered.
Responsible for assisting Business Compliance so that Country Compliance can assess defend and report on full range of SCB compliance issues and their handling in the DIFC.
Non Presence Countries
Provide compliance advice and support both to the nonpresence countries e.g. Kuwait and rep office countries e.g. Egypt Libya Iraq where there is currently either no or limited local compliance support.
Regulatory Relationship Management
In partnership with the Senior Executive Officer SEO develop and maintain excellent relationships with the DFSA DIFC and other regulatory bodies through the execution of a structured regulatory relationship plan.
Responsible for ensuring the business is properly prepared for regulatory inspections.
Regulatory Advice
Provide timely local regulatory advice and recommendations to the business including on Prudential Regulation in partnership with Finance and Risk Functions on DFSADIFC regulatory matters and proactively monitors business specific regulatory developments.
Provide guidance on proper application and interpretation of laws regulations and policies
applicable to the business.
Develop and enforce product standards and controls in the DIFC Branch.
Approve Product Programmes and Addenda for local and crossborder regulatory risks in the DIFC Branch.
Work collaboratively with the business to ensure that appropriate control standards and assurance procedures are developed and followed.
Regulatory Training
Provide classroom training to the DIFC businesses on DFSADIFC regulations and Group Compliance policiesprocedures.
Compliance Monitoring
Assist the compliance monitoring manager with delivering compliance monitoring reviews as per the country monitoring plan including leading some of the DIFC compliance reviews.
Responsible for the completion of the Business Compliance Risk Review for the DIFC.
Compliance Reporting
Coordinate the different reports to the DFSA and DIFC including to prepare and submit an annual DIFC Anti Money Laudering AML report to the DFSA and the annual return to DIFC data protection officer.
Compliance Business Partnering
Use technical knowledge of all business products undertaken in the DIFC to provide sound regulatory advice to the business on a timely basis. This may entail transactional work in liaison with Business Compliance.
Assist the Country Head of Compliance Business Compliance and Senior management in ensuring that the UAE WB business and DIFC branch operate in accordance with a their legal and regulatory requirements and b Group standards.
Proactively drive the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment.
Keep track of the appointment registration and withdrawals of the authorised individuals.
Coordinate the DFSA regulatory reviewsexaminations.
Handle ad hoc business specific enquiries and surveys as requested by the DFSA from time to time.
Qualifications amp Skills
⢠Proven experience in the regulatory field or equivalent relevant legal experience.
⢠A strong understanding of the regulatory environment in the U.A.E.
⢠Strong analytical skills.
⢠Good judgment enabling the provision of sound advice in difficult areas of law regulation and practice and the proactive management of compliance and regulatory risk.
⢠Personal authority integrity and ethics.
⢠An inquisitive and proactive approach to practices procedures and specific transactions.
⢠Ability to manage and give leadership to subordinates across U.A.E.
⢠Independence robustness and resilience.
⢠Sharp business acumen including the ability to assess risk.
⢠Strong leadership qualities excellent interpersonal skills and multicultural awareness.
⢠Strong integrity independence amp resilience.
⢠Personal authority with proven ability to establish relationships and exert influence at senior levels of the Group and with regulators and other external stakeholders.
Closing Dates
The closing date for applications is ddmmyyyy. Please note all closing dates are given in Hong Kong time GMT 8 hours. We aim to respond to successful applicants within four weeks and will keep a record or your application in our database so that we can contact you when suitable vacancies arise in future.
Diversity amp 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
via http://ift.tt/1H9XnRY
The role holder is the registered compliance officer and money laundering reporting officer for Standard Chartered Bank SCB Dubai International Financial Centre DIFC with the Dubai Financial Services Authority DFSA.
Provide team leadership and have responsibility for and oversight of the management of regulatory and product risks in SCB DIFC and provide advice to ensure that the business is meeting the bank's and the DFSA's expectations.
To work closely with the Business Compliance Officers in the region to understand regulatory product risks within those business in the DIFC and non presence countries and when required partner with Business Compliance to provide advice and assurance to ensure that the bank is meeting the relevant Regulators' expectations.
To work closely and coordinate effectively with the Financial Crime Risk FCR team in relation to Money Laudering Reporting Officer MLRO responsibilities.
To proactively develop regulatory relationships with the DFSA through a structured engagement programme and consistent adherence to regulatory expectations.
Responsible for overseeing SCB DIFC Branch management of its regulatory and reputational risk from the perspective of the DIFC and the SCB footprint in non presence countries
Key Roles amp Responsibilities
DIFC compliance officer
Act and be registered as the DIFC compliance officer and money laundering reporting officer for SCB DIFC.
Maintain a strong and proactive relationship with the DFSA including maintaining the regulatory relationship plan.
Provide proactive monitoring and oversight of the DIFC branch activities and businesses and to ensure SCB DIFC is meeting the requirements of the DFSA rules and regulation.
Support DIFC Senior Executive Officer in the increased governance requirements in the DIFC including attending the DIFC Country Management Committee MANCO UAE Country Operational Risk Committe CORC maintaining a DIFC regulatory compliance issuesrisk register monitoring location of individuals within the DIFC.
Monitor changesdevelopments in DIFCDFSA lawregulation and cascade to business and to coordinate lobbyingthought leadership efforts with the DFSA.
Perform the responsibilities of the DFSA and DIFC Money Laundering Prevention regulation in close coordination with the UAE FCR team
Support private bank in DFSA regulatory matters.
Deal with nonroutine correspondence to the DFSA e.g. product approvals notifications licence applicationsvariations.
Partnership with Business Compliance for DIFC
Act as the point of contact between Business compliance MENA and DIFC Country Compliance with respect to the DIFC.
In close partnership with Business Compliance to provide advice to business on regulatory compliance queries affecting the DIFC businesses including advice on local regulations and GroupBusiness compliance policies.
Work closely with the business compliance productfunctional specialists including private banking compliance financial markets compliance transaction banking compliance private side compliance control room and FCR to ensure that integrated and consistent advice is delivered.
Responsible for assisting Business Compliance so that Country Compliance can assess defend and report on full range of SCB compliance issues and their handling in the DIFC.
Non Presence Countries
Provide compliance advice and support both to the nonpresence countries e.g. Kuwait and rep office countries e.g. Egypt Libya Iraq where there is currently either no or limited local compliance support.
Regulatory Relationship Management
In partnership with the Senior Executive Officer SEO develop and maintain excellent relationships with the DFSA DIFC and other regulatory bodies through the execution of a structured regulatory relationship plan.
Responsible for ensuring the business is properly prepared for regulatory inspections.
Regulatory Advice
Provide timely local regulatory advice and recommendations to the business including on Prudential Regulation in partnership with Finance and Risk Functions on DFSADIFC regulatory matters and proactively monitors business specific regulatory developments.
Provide guidance on proper application and interpretation of laws regulations and policies
applicable to the business.
Develop and enforce product standards and controls in the DIFC Branch.
Approve Product Programmes and Addenda for local and crossborder regulatory risks in the DIFC Branch.
Work collaboratively with the business to ensure that appropriate control standards and assurance procedures are developed and followed.
Regulatory Training
Provide classroom training to the DIFC businesses on DFSADIFC regulations and Group Compliance policiesprocedures.
Compliance Monitoring
Assist the compliance monitoring manager with delivering compliance monitoring reviews as per the country monitoring plan including leading some of the DIFC compliance reviews.
Responsible for the completion of the Business Compliance Risk Review for the DIFC.
Compliance Reporting
Coordinate the different reports to the DFSA and DIFC including to prepare and submit an annual DIFC Anti Money Laudering AML report to the DFSA and the annual return to DIFC data protection officer.
Compliance Business Partnering
Use technical knowledge of all business products undertaken in the DIFC to provide sound regulatory advice to the business on a timely basis. This may entail transactional work in liaison with Business Compliance.
Assist the Country Head of Compliance Business Compliance and Senior management in ensuring that the UAE WB business and DIFC branch operate in accordance with a their legal and regulatory requirements and b Group standards.
Proactively drive the development and maintenance of good relationships with internal and external business stakeholders at appropriate levels ensuring an open and cooperative environment.
Keep track of the appointment registration and withdrawals of the authorised individuals.
Coordinate the DFSA regulatory reviewsexaminations.
Handle ad hoc business specific enquiries and surveys as requested by the DFSA from time to time.
Qualifications amp Skills
⢠Proven experience in the regulatory field or equivalent relevant legal experience.
⢠A strong understanding of the regulatory environment in the U.A.E.
⢠Strong analytical skills.
⢠Good judgment enabling the provision of sound advice in difficult areas of law regulation and practice and the proactive management of compliance and regulatory risk.
⢠Personal authority integrity and ethics.
⢠An inquisitive and proactive approach to practices procedures and specific transactions.
⢠Ability to manage and give leadership to subordinates across U.A.E.
⢠Independence robustness and resilience.
⢠Sharp business acumen including the ability to assess risk.
⢠Strong leadership qualities excellent interpersonal skills and multicultural awareness.
⢠Strong integrity independence amp resilience.
⢠Personal authority with proven ability to establish relationships and exert influence at senior levels of the Group and with regulators and other external stakeholders.
Closing Dates
The closing date for applications is ddmmyyyy. Please note all closing dates are given in Hong Kong time GMT 8 hours. We aim to respond to successful applicants within four weeks and will keep a record or your application in our database so that we can contact you when suitable vacancies arise in future.
Diversity amp 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
via http://ift.tt/1H9XnRY
