Responsibilities

Strategy

Set and implement the vision, strategy, direction and leadership for CORPORATE & INVESTMENT BANKING COMPLIANCE, FINANCIAL CRIME & CONDUCT RISK Advisory teams, consistent with Country Head, CFCC vision and strategy for the CFCC function and in support of the Bank's strategic direction and growth aspirations.

Promote the culture and practice of compliance with CFCC standards (including conducting business within regulatory 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 business model and strategy in order to provide substantive oversight support and challenge in order to enable appropriate and sustainable CFCC outcomes.

Build and maintain an effective and constructive relationship with all key business 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 business and functions to meet/ achieve their strategic tactical objectives.

Provide advice, analysis (and challenge when appropriate) in relation to the Corporate & Investment Banking 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 business and its operational teams to provide timely advice to ensure compliance with all relevant laws and regulations and support the transition to pro-active and pre-emptive CFCC risk mitigation.

Support the resolution of competing requirements between regulations specific to Corporate & Investment Banking 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

Processes

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 Enterprise Risk Management Framework for to the extent that CFCC advisory is the appropriate second line risk owner.

The role holder is not responsible for CFCC first line processes unless specifically delegated by and/or agreed with the group process owner.

This includes CFCC processes operated to manage risks in Corporate & Investment Banking such as name screening or transaction monitoring.

The role holder is not responsible to ensure that Corporate & Investment Banking and CFCC process owners agree their respective handoffs, which ought to be documented in a service level agreement.

However, consistent with the CFCC advisory second line responsibilities under the Enterprise Risk Management Framework, the role holder is responsible to ensure that in the absence of an agreement or if responsibilities are poorly executed, the risks inherent in Corporate & Investment Banking are addressed in line with the Enterprise Risk Management Framework.

Develop and maintain effective policies/processes/DOIs (including training, advice and support) to address CFCC risks across Corporate & Investment Banking, aligning with relevant regulatory requirements.

Provide governance and oversight over the implementation of CFCC related policies and procedures relevant to Corporate & Investment Banking (to enable compliance with such policies and procedures).

Provide support and challenge to the Bank's senior management 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 & Talent

Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration 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).

Regularly and on a timely basis appraise performance as well as proactively manage attrition when needed.
Ensure regular and documented management meetings with direct reports.

Drive the migration of skill, knowledge, best practice and lesson learned across the network between CFCC Advisory colleagues especially in relation to legal/regulatory risks and compliance with relevant regulations and internal policies/standards as they pertain to Corporate & Investment Banking.

Risk Management

In accordance to the Group's Enterprise Risk Management Framework, act as second line Risk Owner for appropriate and relevant Corporate & Investment Banking 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 CORPORATE & INVESTMENT BANKING COMPLIANCE, FINANCIAL CRIME & CONDUCT RISK Advisory matters, and in collaboration with the rest of the CFCC team, effectively manage regulatory issues that have a significant impact on the Group including but not limited to conflicts of interest, cross –border and onshore/offshore transactional support and control (in partnership with Cross Border (XB) and Conflict of Interest (COI) Compliance teams).

Collaborate with relevant senior managers to support a programme for conduct, financial crime and compliance monitoring, surveillance and/or assurance for Corporate & Investment Banking.

In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management in the Group 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 Corporate & Investment Banking.

Liaise with the internal audit function to ensure that any CFCC weakness identified by the internal audit function relating to Corporate & Investment Banking activities are appropriately followed up.

Provide reports to relevant Group and Business risk and control committees and management group on key conduct, financial crime and compliance risks and issues pertaining to Corporate & Investment Banking.

Maintain adequate management MI / trackers across all aspects of their coverage and responsibility to ensure all issues and matters relating to Corporate & Investment Banking are tracked, followed, regularly assessed and reported on, including oversight of risk acceptance and/or mitigating action plans, identification and management of high risk clients or specific country reviews relating to Corporate & Investment Banking.

Provide advice on the application of risk management frameworks (e.g. Enterprise Risk Management provide advice to relevant stakeholders on outcomes of risk identification and assessment methodologies
Maintain oversight of risk acceptance and/or mitigating action plans relating to Corporate & Investment Banking.
Provide reports to relevant Group and Business risk and control committees and management group on key compliance risks and issues
Understand technical aspects of systems relevant to Corporate & Investment Banking.
Assess risks arising from products / segments / geographies / customers / transactions

Ensure global standards are understood and implemented in 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.

Ensure the end-to-end life cycle of audit, assurance and regulatory reviews is managed appropriately, including tracking, remediation and preparing lessons learned from such reviews.

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 Corporate & Investment Banking.

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.

Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Lead to achieve the outcomes set out in the Bank's Conduct Principles
Head of Corporate & Investment Banking, Japan
Business Risk Manager, covering Japan Client Coverage team, Transaction Banking, Transaction Banking Operations
CORPORATE & INVESTMENT BANKING COMPLIANCE, FINANCIAL CRIME & CONDUCT RISK Advisory, Asia
Senior Transaction Banking Business Management
Transaction Banking Chief Operating Officer teams
Group Internal Audit
Local support functions / other 2 LoD teams such as Finance, Legal, Technology, Risk
Japan Financial Services Regulator, Japan Securities Dealers Association, Securities and Exchange Surveillance Commission, Ministry of Economy, Trade and Industry, Ministry of Agriculture, Forestry and Fisheries of Japan
Bank of Japan, International Bankers Association Japan, Japanese Bankers Association, Japan Investor Protection Fund, Financial Instruments Mediation Assistance Center

Other Responsibilities

Embed Here for good and Group's brand and values in Japan

Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats)

Qualifications

Education Bachelors degree
Certifications Japan securities dealers association (japan securities dealers association) internal control manager
Languages Japanese (native), english

Role Specific Technical Competencies

Markets Product Knowledge
Compliance Policies and Standards
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 170 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.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours.

When you work with us, you'll see how we value difference and advocate inclusion.

Together We

Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What We Offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.

Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.

Flexible working options based around home and office locations, with flexible working patterns.
Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits

A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.

Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

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