Governance, Risk & Compliance Analyst
Smarsh
Job Level
Mid-LevelSenior
About the role
- All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
- Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
- Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, e.g. static updates.
- Timely responses to external & internal queries.
- Assist with building tactical and strategic processes and collaborate with Technology & Change teams to deliver strategic metrices.
- Ensure adherence to Process Documents including regular up-dation and execution of the same.
- Ensure robust control framework is enriched and followed by Regops team.
- Actively participate in group Projects/changes
- Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
- Maintain consistency of processes & MI across regulatory regimes e.g. SFTR, MIFID & EMIR…etc
- Identify improvement to processes & drive delivery of change management.
- Collaboration across teams, regions & time zones to meet the responsibilities of the global team.
- Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
- Evolve, improve & question processes and ensure timely escalations of issues.
- 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.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters
Requirements
- All aspects of tasks related to prevention, detection, assurance & oversight of Regulatory reporting function.
- Manage back reporting functions for in scope trades within deadline in coordination with stakeholders
- Exception Monitoring & Control processes to be run and remediated ensuring trades related to technical fixes which are prioritised are remediated daily where possible, e.g. static updates.
- Timely responses to external & internal queries.
- Assist with building tactical and strategic processes and collaborate with Technology & Change teams to deliver strategic metrices.
- Ensure adherence to Process Documents including regular up-dation and execution of the same.
- Ensure robust control framework is enriched and followed by Regops team.
- Actively participate in group Projects/changes
- Strategy Practice robust controls on reporting to evidence completeness, accuracy & timeliness.
- Maintain consistency of processes & MI across regulatory regimes e.g. SFTR, MIFID & EMIR…etc
- Identify improvement to processes & drive delivery of change management.
- Collaboration across teams, regions & time zones to meet the responsibilities of the global team.
- Share knowledge gained from CRO & RM space with peers
- Active participation in driving improvement in processes and services based on gained knowledge
- Be part of the execution of the core CRO tasks.
- Execute prevention, detection, Assurance & oversight processes within the reporting function.
- Understand the system architecture limitations & remediation plans to ensure impact on day to day reporting can be mitigated.
- Evolve, improve & question processes and ensure timely escalations of issues.
- 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.
- Lead to achieve the outcomes set out in the Bank’s Conduct Principles
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters
