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The Role Responsibilities

Strategy

• Review and support new business / function markets and / or activities including client journey and restructuring.

• Review and support new and product initiatives including product solutioning, process flow, design and features.

• Processes

• Assist with rollout of Group CFCC policies and standards into countries Advise Framework and Policy Management.

• Participate in the review of Group CFCC policies and standards update, where relevant Advise Framework and Policy Management.

• Handle business / function unit queries prior to and during roll-out of new policies and standards Advise Framework and Policy Management.

• Prepare local addendum for relevant Group policies and standards including risk appetite, where applicable.

• People and Talent

• Conduct training on new regulations, policies and standards relating to CFCC (i.e. as PO, RFO, CFCC owned risk sub-types or CFCC 2LOD).

• Prepare training packs including adapting existing materials, researching on new topics and familiarisation with new training materials and wider topics.

Risk Management

• Validate risk identification and assessment completed by 1LOD Challenge Risk Identification and Assessment.

• Challenge treatment plan on elevated residual risk Challenge Risk Identification and Assessment.

• Perform 2LOD monitoring outside the scope of CFCC Assurance Monitor Validate, review and independently assure.

• Lead or assist on investigation to ascertain whether a regulatory breach has taken place.

• Work with business / function unit to determine root cause and identify whether there is any systemic issue Challenge.

• Review investigation / incident reports to ensure breach are correctly recorded.

• Governance

• Review and support new business / function markets and / or activities including client journey and restructuring Challenge.

• Review and support new and product initiatives including product solutioning, process flow, design and features Challenge.

• Advise of CFCC-related regulations, policies and standards Advise Framework and Policy Management.

• Advise on moderate complexity CFCC-related issues including market materials, transactions / deals, alert escalations and material complaints (high complexity CFCC-related issues are generally escalated to CFCC CoE) Advise Risk decisioning and portfolio management.

• Advise on licensing regime, specifically on complicated licensing scenarios Advise Risk decisioning and portfolio management.

• Complete insourcing / outsourcing assessment for moderate to high complexity scenarios.

• Escalate country issues to regions and / or Group, including COE in accordance with response framework.

  
  

Regulatory and Business Conduct

• Participate in regulatory engagement activities including fronting regulatory applications for new products / business, providing periodic advisory updates, co-ordinating ad-hoc regulatory request and participating in working groups.

• Co-ordinate responses to regulatory enquiries including regulatory surveys, non-financial risk returns and regulatory self-assessments.

• Support regulatory inspections and / or audits on business / functions including advance review, logistic planning, preparing materials / responses, briefing, documentation and follow-up.

• Update internal team and / or regulator on regulatory breach.

• Advise on press releases and external communications prior to issuance by Corporate Affairs.

• 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.

Key Stakeholders

• Head, CFCC, Uganda

• Head, FCC, Uganda

• Regional Head, CFCC Advisory, CCIB, AME

• Heads of Business and Functions in Uganda

• Regional Heads, FCC Centres of Excellence (e.g. Sanctions, ABC, Controls)

• Other Risks and Control Functional Heads (Risk, Finance, COO, Audit, etc)

• Relevant local Regulators

  
  

Other Responsibilities

• Embed Here for good and Group’s brand and values in CFCC Advisory CCIB Uganda team.