Associate Director, WSCOO SG

Responsibilities

• Policies
• Responsible for reviewing all relevant Group policies / procedures / standards of the Bank to assess if the WM Business and Operations teams are in compliance with the requirements stipulated therein.
• Responsible for performing gap analysis of current practices within the WM Business and Operations teams against the requirements of relevant Group policies / procedures / standards and ensuring that the necessary measures and action plans are put in place so that there are no breaches against the requirements.
• Responsible for advising the WM Business and Operations teams on the requirements stipulated in the relevant Group policies / procedures / standards of the Bank.
• Responsible for reviewing and providing feedback on new and amended Group policies / procedures / standards, and challenge said documents if there is opportunity for improvement.
• Risk
• Responsible for supporting the WS COO in his role as the delegated Country Process Owner for WS processes, which includes the review of proposed residual risk assessments of key WM process such as Product Management and Wealth Sales & Advisory, and the design and assessment of key controls.
• Responsible for managing the risks of WS Business and Operations initiatives and process changes through the performance of Change Risk Assessments, Post Implementation Reviews etc.
• Responsible for supporting the WS Business and Operations teams in minimizing operational risks and losses and ensuring that material risk and loss events are investigated and remediated to prevent recurrence.
• Responsible for escalation of issues, blockages, challenges and trends to the regional lead, COO and business head when required.
• Audits & Reviews
• Responsible for managing all internal and external audits and peer reviews.
• Responsible for collaborating with stakeholders such as the Business Risk Management (BRM) team to complete Management Action Plans until all issues are closed and potential risks are mitigated.
• Responsible for collaborating with stakeholders for predictive risk management through the monitoring of emerging risks, thematic reviews, deep dives etc.
• Governance
• Responsible for ensuring adequate governance and oversight of WM's outsourced functions and activities, including that the outsourcing activity complies with internal and external requirements.
• Responsible for the crafting and review of submissions to various forums such as the Wealth Management Business Governance Meeting (WM BGM), Country Non-Financial Risk Forum (NFRF) etc.
• 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.
• Key stakeholders
• Country Wealth Solutions Head
• Country Wealth Solutions COO
• Country Wealth Solutions Operations Head
• Group Wealth Solutions COO Office
• Country Operational Risk Officers
• Country Business Risk Managers
• Country CFCR
• Country Legal
• Group and Country Internal Audit
• Our Ideal Candidate
• 7+ years of experience in Wealth Management within financial services, with strong exposure to policy, governance and risk management frameworks.
• Strong knowledge of Wealth Management products and operations (e.g. Capital Markets, Mutual Funds, Insurance), with the ability to translate this into effective governance, controls and policy implementation across a diverse product suite.
• Proven experience in Wealth related Operational Risk management, including risk assessment, control design/assessment, and issue remediation, with sound judgement to balance risk oversight and business partnership.
• Track record in managing internal and external audits, regulatory reviews and governance forums, including driving closure of findings and action plans.
• Highly analytical and detail-oriented, with the ability to synthesise large volumes of information and drive consistent governance standards across processes and stakeholders.
• Ability to apply data driven and AI-enabled approaches to enhance risk identification, trend analysis, and early warning indicators, ensuring alignment with model risk and data governance standards.
• Demonstrated ability to work effectively in a matrix organisation, leveraging cross-fun

Additional Information

Job Summary - The person is responsible for working with the Wealth Solutions Business and Operations teams on policy implementation, governance and advisory, and in doing so manage the risks faced by said teams and for supporting the WS COO in his role as the delegated Country Process Owner for WS processes.

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