Associate Director, CFCR Regulatory Affairs, Americas

Key Responsibilities Strategy
• Awareness and understanding of the Group’s business strategy and model. Business
• Awareness and understanding of the trading businessesProcesses
• Coordinate and manage regulatory examinations and regulatory visits/meetings.
• With Regulatory Affairs team, act as main point of contact to regulators and ensure all requests are handled in timely and accurate manner.
• Ensure regulatory and Group required reports and management updates are completed within the required time frames.
• Submit regulatory requests to regulatory agencies including securities and derivatives regulators, as needed.
• Complete Regulatory examination summary for Group and local reporting requirements.
• Establish and develop effective working relationships with Compliance Representatives and other personnel of business units.
• Ensure timely reporting of US banking structure changes, such as internal transfers, name and address changes.
• Support Compliance team with ad hoc requests. Risk Management
• Communicate and disseminate essential policies or regulatory changes to senior management and/or the relevant business units.
• Assist in problem solving critical issues that have compliance or regulatory impact and provide consultative advisory services on compliance related matters to support business initiatives, as required.
• Ensure timely reporting and escalation of significant issues to management.
• Assist management in furthering regulatory relationships with Regulators and Compliance industry professionals.

Governance
• Promote pro-active support to all businesses and functions in US and to assist senior management in ensuring that the Bank operates in accordance with all regulatory requirements and all Group standards of conduct, so as to protect and enhance the reputation of the Bank with its regulators and avoid significant financial loss.
• Represent Compliance department on relevant internal and external committees, as required. 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 Regulatory Affairs team to achieve the outcomes set out in the Bank’s Conduct Principles;
The Right Environment.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Promote the culture and practice of Compliance within the letter and spirit of regulatory requirements and ethical standards in the conduct of business and oversee Compliance with those requirements and standards. Key stakeholders
• CCO•    Group Public and Regulatory Compliance
• Businesses or Unit Heads and Managers
• Internal Audit
• Regulatory Agencies
• External Auditors Other Responsibilities
• Embed Here for good and Group’s brand and values in the Regulatory Compliance team. Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures

Skills and Experience
• Manage Conduct
• Manage Risk
• Manage People
• Compliance Qualifications•    Good knowledge of banking products and support structure.
• Effective collaborative skills that contribute to positive working relationships with counterparts in Compliance and the business.
• Ability to effectively prioritise multiple responsibilities.
• Strong project management and organisational skills, particularly with conducting effecting planning, management and follow-up of regulatory exams
• Previous experience at a functional…