The Role Responsibilities First line responsibility for the implementation of Compliance, Conduct and FCC policies and procedures for CPBB & CCIB processes to the extent the processes have been identified as owned by the CFCC function, in line with the Group\xe2\x80\x99s process universe as set out in the Group Operational Risk Framework, including activities within the processes owned by the CFCC function which are hubbed or outsourced. As an independent second line risk control function, to execute the relevant aspects of the Compliance, Conduct and FCC PRTFs through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the CPBB & CCIB businesses in Bahrain & MENA (ex. UAE), (\xe2\x80\x9cthe Cluster\xe2\x80\x9d) as applicable. Insofar as they relate to CPBB & CCIB Products, Channels and Segments, Conduct, Financial Crime and Compliance, responsibility for providing details of developments giving rise to a material risk that serious regulatory breaches or breaches of risk tolerances (as agreed by the Board from time to time) may occur and notifying any such breaches to:

• Head, CFCC, Bahrain & MENA (ex. UAE)
• Head FCC, Bahrain & MENA (ex. UAE)
• Business Head CPBB & CCIB Bahrain (& MENA (ex. UAE) as applicable)
• Head, CFCC Advisory, CCIB and Head FCC & CFCC Advisory CPBB AME

The responsibility does not encompass the operation of information technology systems used to implement any policies and procedures, which is the responsibility of the Group Chief Information Officer and does not encompass fraud or cyber related matters. Responsibilities

• To help the Group meet its commitment of being "Here for Good" by building a sustainable framework that places Compliance, Conduct and FCC best practice standards, at the forefront of the Group\'s agenda.
• For the evaluation and assessment of the effectiveness of the Conduct, Financial Crime and Compliance commitments and requirements relative to the specific business coverage, as above.
• To proactively support and challenge the CPBB & CCIB businesses and supporting functions of Bahrain and MENA (ex. UAE) as applicable, to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for clients of the Cluster, as applicable.
• For maintaining independence, delivering timely responses, and timely escalation of risks and issues where the management tolerance of the firm is exceeded.
• For maintaining constructive and effective stakeholder relationships with the relevant business and supporting functions, and to assist the Head, CFCC, Bahrain & MENA (ex. UAE) and the Head, FCC, Bahrain and MENA (ex. UAE) to interface with and support all key stakeholders.
• For supporting the management of regulatory relationships with all relevant regulators in Bahrain & MENA (ex. UAE) as relevant, and such other regulators whose rules the Group is subject to.
• Drive high standards of regulatory compliance and deliver key priorities and initiatives, aligned to the Bahrain & MENA (ex. UAE), as applicable, CPBB & CCIB performance scorecard

Strategy

• Promote the culture and practice of compliance with CFCC standards (including conducting business within regulatory and internal policies\xe2\x80\x99 requirements, and to high ethical standards) within the Bank and embed a Here for good culture and the Group Code of Conduct.
• Establish close links with colleagues leading other Client segments and/or Product Groups to achieve common platforms and work plans, implementing a One Bank approach to covering all Clients
• Input to Country Business operating model design of relevant Compliance, FCC and business processes

Business

• Develop a comprehensive understanding of the CPBB & CCIB business model in Bahrain and MENA (ex. UAE), as applicable, and strategy in order to provide substantive oversight support and challenge with the intention of enabling appropriate and sustainable CFCC outcomes.
• Work with the Head of CFCC CCIB Advisory AME, and the CCIB MENA Advisory team located in UAE to have roles and responsibilities clearly defined and proper communication channels are established to ensure full coverage of the CCIB business from CFCC Advisory perspective and proper escalation of material issues.
• Build and maintain an effective and constructive relationship with the CPBB and CCIB businesses 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 CPBB & CCIB businesses and functions to meet/ achieve their strategic tactical objectives.
• Provide advice, analysis (and challenge when appropriate) in relation to the CPBB & CCIB businesses including product design, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), 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 CPBB & CCIB businesses and its operational teams to provide timely advice to ensure compliance with all relevant laws, regulations and internal policies and support the transition to pro-active and pre-emptive CFCC risk mitigation.
• Support the resolution of competing requirements between regulations specific to CPBB & CCIB businesses (i.e., between AML regulations and data privacy/bank secrecy or information security regulations.)
• Establish and maintain risk-based compliance frameworks and a programme for monitoring and assuring compliance that supports the transition to pro-active and pre-emptive compliance and conduct risk mitigation
• Promoting the culture and practice of global standards to the business, while managing local requirements

Process

• 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 to the extent that CFCC advisory is the appropriate second line risk owner.
• Develop, maintain and embed effective processes/DOIs (including training, advice and support) to address CFCC risks across CPBB & CCIB businesses aligning with relevant group policies and regulatory requirements where CFCC has first line obligation.
• Provide governance and oversight over the implementation of CFCC related policies and procedures relevant to CPBB & CCIB businesses (to enable compliance with such policies and procedures).
• Provide support and challenge to the CPBB & CCIB senior management in the Cluster to ensure that they establish and monitor appropriate processes for compliance with CFCC policies, procedures and standards (including meeting regulatory obligations and maintaining high standards of conduct).

People and Talent

• Lead through example and build the appropriate culture and values. Work in collaboration with the members of the CFCC teams and with risk and control partners.
• Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
• Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
• Provide feedback at business, function, country and individual level as appropriate, on CFCC matters which should have a bearing on remuneration pools or individual bonuses (for senior staff).
• Drive the migration of skill, knowledge, best practice and lesson learned across the network between CFCC colleagues especially in relation to legal/regulatory risks and compliance with relevant regulations and internal policies/standards as they pertain to CPBB & CCIB businesses
• Develop communications strategies and plans that deliver timely and relevant messages to the right stakeholders through appropriate activities and channels.
• Ensure staff in CFCC Advisory Bahrain & MENA excl. UAE have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions

Risk Management

• In accordance with the Group\xe2\x80\x99s Enterprise Risk Management Framework, act as second line Risk Owner for appropriate and relevant CPBB & CCIB business processes.
• Collaborate with the other Products CFCC teams, Group & Regional CFCC Advisory Teams to anticipate horizon risks that may have a significant impact on the Bank and develop effective strategies to mitigate such horizon risks including global standards for conduct of business.
• Ensure effective management of the CPBB & CCIB CFCC Advisory matters, and in collaboration with the rest of the CFCC team, effectively manage regulatory issues that have a significant impact on the Bahrain and MENA operations as relevant, including but not limited to conflicts of interest, cross \xe2\x80\x93 border and onshore/ offshore transactional support and control (in partnership with Cross Border (XB) and Conflict of Interest (COI) Compliance teams).
• In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the CPBB & CCIB businesses in Bahrain and MENA (ex. UAE) as relevant and relevant regulators are informed and that actions are taken quickly to remediate and/or activities are ceased.
• Ensure proactive and timely identification, assessment, advice and dissemination of evolving regulatory changes/practices and associated risks, and proactive engagement in regulatory reform.
• Assist and work closely with the Group Shared Investigation Services team in relation to investigations concerning the CPBB & CCIB businesses in the Cluster.
• Liaise with the internal audit function to ensure that any CFCC weakness identified by the internal audit function relating to the CPBB & CCIB businesses in the Cluster are appropriately followed up.
• Provide reports to the relevant Country and Business risk and control committees and management teams on key conduct, financial crime and compliance risks and issues pertaining to the CPBB & CCIB businesses in the Cluster.
• Provide advice on the application of risk management frameworks (e.g. ERMF) to relevant stakeholders on outcomes of risk identification and assessment methodologies.
• Maintain oversight of risk acceptance and/or mitigating action plans relating to CPBB & CCIB businesses in the Cluster.
• Understand technical aspects of systems relevant to the CPBB & CCIB businesses in the Cluster.
• Assess risks arising from products / segments / geographies / customers / transactions.
• Ensure global standards are understood and implemented locally, with any identified exceptions, or need for more/less stringent standards escalated to Regional Compliance for joint decision making.

Governance

• Attend relevant leadership meetings and provide relevant reports to senior management and governance/risk committees.
• Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework.
• Ensure appropriate product governance measures are in place so that product approval documents reflect all relevant regulatory requirements.
• Propose control effectiveness and efficiency improvements and simplifications where appropriate.
• Within the Group\'s Enterprise Risk Management Framework, establish and maintain appropriate risk based CFCC framework for identifying, assessing, managing, monitoring, mitigating and reporting compliance (including regulatory and financial crime) risks across CPBB & CCIB businesses in the Cluster.

Anti-Bribery & Corruption

• Communicate ABC Policy and related Procedures to Bahrain CPBB & CCIB Staff.
• Identify additional and/or stricter country anti-bribery regulatory or legal requirements.
• Where required, prepare country addenda to ensure compliance with local anti-bribery laws and regulations.
• Ensure all relevant staff are trained in the requirements of this Policy and related country anti-bribery addenda and that this training is updated when required by developments and chages in local law and regulation related to ABC.
• Oversee and monitor the implementation of this Policy and its associated Procedures, including documenting any gaps between Group standards to local procedures/and local regulatory requirements

Regulatory and Business Conduct

• Display exemplary conduct and live by the Group\xe2\x80\x99s 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 [CFCC Advisory team in Bahrain & MENA excl. UAE to achieve the outcomes set out in the Bank\xe2\x80\x99s 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.
• Ensure that effective controls and monitoring are in place by the first line of defence to comply with applicable requirements of the CBB and regulators in the markets of the MENA excl. UAE cluster.

Key Stakeholder

• Head, CFCC, Bahrain & MENA (ex. UAE)
• Head, FCC, Bahrain & MENA (ex. UAE)
• Regional Head, FCC & CFCC CPBB Advisory, AME
• Regional Head, CFCC CCIB Advisory
• MENA CCIB Advisory team
• Head of CCIB, Bahrain
• Head of CPBB Bahrain & MENA (ex. UAE)
• Regional Heads, FCC Centres of Excellence (eg. Sanctions, ABC, Fraud)
• Other Risks and Control Functional Heads (Risk, Audit, etc)
• Relevant Local Regulators

Other Responsibilities

• Embed Here for good and Group\xe2\x80\x99s brand and values in Bahrain CFCC, Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Our Ideal Candidate

• University Degree in Business, Economics, Finance, Law, or relevant
• ICA Diploma in Governance, Risk & Compliance (GRC) or ICA Certificate in GRC - required
• ACAMs \xe2\x80\x93 Certified Anti Money Laundering Specialist - preferred

Role Specific Competencies

• Manage Conduct
• Manage Risk
• Manage People
• Financial Crime and Compliance Policies and Standards
• Financial Crime and Compliance Advisory
• Compliance Review and FCC Assurance
• Surveillance (including Screening and Monitoring)
• Investigations
• Compliance Risk Assessment
• Regulatory Liaison
• Manage Change
• Manage Projects

About Standard Chartered We\'re an international bank, nimble enough to act, big enough for impact. For more than 160 years, we\'ve worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you\'re looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we can\'t wait to see the talents you can bring us. Visit our careers website www.sc.com/careers