- Overall responsible for the preparation, communications and implementation of TTO OR plans, working in close co-operation with cluster (CTOO, Legal & Compliance, local/regional management groups/committees) and global (Group R&C and Operational Risks)
- Non-Financial Regulatory Reporting (NFRR) governance.
- Data management and governance.
- Take personal responsibility for understanding the risk and compliance requirements of the role.
- Ensure artefacts are audit readiness at all times and are stored (and appropriately protected / controlled) in the correct document repositories.
- Ensure compliance with all governance frameworks where there are direct touch points with them or any subsequent downstream influence in all country functions.
- Key risk metrics reviews – highlight key trends of concerns.
- Ensure risk information in the bank's OR system is kept up-to-date for timely actions.
- Review of Audit issues/actions plan – identify cross border issues, track and resolve.
- Review open regulatory risks and assess/agree on treatment plan.
- Non-Financial Regulatory Reporting Governance
- On-going country governance on NFRRs and ensuring the effective implementation of the NFRR Policy and Standards
- Resolving disputes as to the identify of a subject matter expert of an NFRR
- Resolving disputes as to the ownership of a NFRR
- Providing oversight over NFRR related issues ( error in submission, late submission or re-submission, etc), by ensuring that these issues and the remedial actions are being tracked by relevant members/invitees with the SME and Return Owner
- Reviewing NFRR Register on regular basis (at least annually) through confirmation provided from Return Owners that the information contained in the NFRR Register is complete and accurate
- Ensuring the annual confirmation of department operating instructions ("DOI") defined in NFRR Standard has been provided by Return Owner
- Validate that all NFRR returns have been identified with controls and control monitors implemented on a risk proportionate basis;
- Setting up limits of key risk indicators for effective risk control
- Ensuring any non-compliance with the NFRR Policy and Standard is escalated and reported
- Support and guide Functional Data Assurance Heads/ Managers to define and document Meta-data/ Critical Data Element/ etc. and train-up in the function.
- Comment to BAU team on Data Operation workflow efficiency and correctness improvement.
- Lead Country Functional Data Governance Working Group in country to drive Data Management/ Governance Standard (Data Quality Management Framework) well executed in all functions in country; drive regulatory requirements in Data Governance rollout and well maintained in country.
- Design functional data quality metrics and scorecard for country level data governance standard, align with group standard as much as possible.
- Supervise Functional Data Management self-assessment, according to group DQMF (Data Quality Management Framework).
- Coordinate and support Data utilization in and cross the functions for revenue generation and risk management (or cost saving, etc).
- Work closely with all functions to improve Data Management quality basing on self-assessment and country/ group's DGF/ DGC further advices.
- Escalate data quality issue to country DGF.
- Develop and embed a high performance culture and organizational mindset to effectively communicate/implement TTO policies and processes in country.
- Develop ongoing training, communications and development programs for TTO personnel to ensure policies/standards in OR, ICS and data management are well communicated/executed.
- Support development of team members, and to provide necessary coaches and consultations.
- Engage stakeholders proactively, and to maintain an effective and efficient working relationship.
- Execute pro-active risk management
- Process risk analyses & risk register – working with group/country R&C/OR to apply bank processes. Identify potential risks and agree on gross risk level.
- Control design – asses potential failure events and arrive at key risk indicators for ongoing risks monitoring/mitigations.
- Peer review – perform peer reviews with a view to be audit ready. Leverage group SMEs where necessary.
- Perform risk assurance review and ensure the teams in CTOO China and Japan organization processing compliance of Group policies and local regulatory requirements
- Ensure proper management of risk and timely resolution of issues
- Promote risk assurance program, ensure the audit rating improvement and zero tolerance of repeat findings
- Perform ICS and Data Management governance role representing CTOO China and Japan in cluster.
- 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 China TTO Risk & Control NFRR 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.
- Client Journey (CJ) & CJ operation teams, Technology team; Global Business Services teams; Other relevant department functions in the Bank (, Audit, CFCC, Risk etc)
- Understand, acknowledge and comply with the requirements on individual accountabilities and responsibilities of the job set out in applicable local laws and regulations as well as SCB internal policies.
- Effectively ensure and intensify internal controls by keeping abreast with developments of applicable local laws and regulations on accountabilities.
- Perform job duties with diligence, contribute to efforts as an individual or as a team member so as to avoid any actual or potential legal sanctions, regulatory penalties, material financial loss, or adverse reputational impact on the Bank.
- Be responsible for failure to follow relevant rules and processes, failure to properly perform the responsibilities, and implement corrections.
- Cooperate with any investigations or reviews on regulatory failure such as accountability review.
- Properly perform the duties on supervisory, audit and risk control, including but not limited to
- Contribute in the formulation or amendment of audit, risk control and accountability policies
- Participate in the internal investigations or reviews on regulatory failure such as accountability review
- Be responsible for regulatory failure or risks arising from or in connection of failure to perform the duties on supervisory, audit and risk control
- Recognized licenses/certification and working experiences in the area of data management and risk management. DAMA CDMP
- University graduate or above in Computer, Banking or Business.
- At least 8 years experiences in banking or financial institutions with solid banking knowledge.
- Proven people management and leadership to engage and motivate staff performance.
- High degree of independence, responsibility, integrity and discipline.
- Strong project management skills with demonstrable track record in a dynamic environment.
- In-depth knowledge of products, processes and operations with strong analytical skills.
- In-depth knowledge of data management, regulatory reporting with strong analytical skills.
- Proven people management and leadership to engage and motivate staff performance.
- Excellent communications capability - good command of written and oral English.
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Head, Regulatory Reporting and Data Governance - Shanghai, 中国 - Standard Chartered Bank
描述
RESPONSIBILITIES
Strategy
Business
Processes
Data governance
People & Talent
Risk Management
Governance
Regulatory & Business Conduct
Key Stakeholders
Other Responsibilities
Our Ideal Candidate
Role Specific Technical Competencies
Shanghai的Head, Regulatory Reporting and Data Governance从业者
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Nick NING
Investment research + Data enablement