Primary Location: Asia-Malaysia-Bukit Jalil KL
Employee Status: Permanent
Posting Date: 11/Jan/2022, 10:38:11 AM
Unposting Date: Ongoing
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
- Ensure that investment restrictions as indicated for respective clients are properly investigated, monitored and reported accurately and timely to Client &/or Country, wherever required
- Monitoring adherence with investment restrictions of mandates and regulations using Charles River Investment Management System (CRIMS) on a post trade basis.
- Tracking periodic exception, fund compliance and RBC reports.
- Prepare fund compliance checklists / matrix and set up investment guidelines and restrictions in CRIMS for new client mandates / funds or revised investment guidelines/restrictions.
- Provide cover and support to the oversight and ongoing maintenance of rules/restrictions coded into CRIMS.
- Maintain records and documents accurately and in accordance with the Bank’s policies and procedures (i.e. correspondence with clients, record of breaches, compliance checklists, etc.)
- Support UAT and BCP in CRIMS, RBC and other fund compliance system.
- Coordinate, as appropriate, with various fund compliance stakeholders and business areas.
- Work with team members to achieve inter-sectional teamwork and total quality business unit
- Ensure operations are within the guidelines and in compliance with the regulatory requirements and Bank’s established procedures.
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 Fiduciary team 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.
- Staff within Securities Services team
- Staff within Fiduciary Services team
- Staff within Fund Services team
- Staff of Central Data Management Group (CDMG) and Fund Admin Projects team
- Country (ie. Trustee / Fund Supervisor), External Clients
- Embed Here for good and Group’s brand and values in Fiduciary Services team
- Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
Our Ideal Candidate
- University degree in Accountancy or Banking/Finance/Business.
- Good knowledge of equity, fixed income and derivative instruments.
- 1-2 years relevant business/financial experience, preferably in the financial services/investment or asset management industry
- Able to interpret legal clauses and paraphrase into simple and clear requirements
- Sound knowledge/experience of systems such as Charles River, Bloomberg etc.
- Competent in using Microsoft Excel.
- Ability to handle variety of fast changing situations in terms of work pressure and clients’ requirements.
- Strong analytical, numerical and problem-solving skills.
- Excellent inter-personal and communication skills (English is a MUST).
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 career pages. We welcome conversations on flexible working.