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Assistant Manager role in Information Disclosure at Standard Chartered, Shanghai.
Lead operational disclosure, compliance, and risk management across funds and fiduciary operations.
Job Summary
The job holder will be a members of Fund & Fiduciary Operations and carries out the Information Disclosure role responsibilities in China to meet the regulatory requirement. It is expected to work closely with the other Operations Leads, business, Client Solution team, client Implementation team, Product Manager, sales and risk control, ensure the process in compliance with Group policy and local regulations, contribute in achieving Security Service Operations delivery and service efficiency.
Key Responsibilities
Business
- • Work closely with team lead and team members to manage day-to-day operation within Fund & Fiduciary Ops framework
- • Ensure all information disclosure be released on time and relevant material safekeeping
- • Network internally with colleagues, hub operations colleagues and customers to solve issues independently and improve efficiency.
- • Be able to escalat exceptional request for decision and resolution.
- • Be able to support projects as Fund & Fiduciary Operations concerns. Monitor the overall implementation of products change/business agenda with support from other SME, if necessary. Assistant to make critical decision after balancing all factors.
- • Be an expert on China regulatory/business environment.
Processes
- • Responsible for information disclosure including ad hoc for all products based on the relevant regulations
- • Negotiate with external auditors for the completion of annual account audits of clients’ funds
- • Responsible for failure to follow relevant rules and processes, failure to properly perform the responsibilities, and implement corrections
- • Liaise with regulator, market participants and Vendor on the regulatory and market requirements to fund accounting, and its implementation and compliance
- • Ensure the accuracy of Information Disclosure reports and their delivery within deadline
People & Talent
- • Keep motivation and ensure a high morale and positive attitude in the organization.
- • Be a great team worker and contribute to a achieving a great place to work.
- • Ensure the continuous self-development as per agreed growth plan
- • Be instrumental in a team of operations professionals and generate talents.
- • Work as a team and train fellow teammates
Risk Management
- • Ensures adherence to country and global operating policies in area of responsibility, maintaining conformance and consistency of provision
- • Operate within the risk and control framework, i.e. assist team lead to minimize operational loss and manage regulatory breach, ensure no high-risk testing issue and/or material audit finding
- • Escalate risk issues for immediate resolution and closure.
Governance
- • Aware of resources across the organization and attract the best to work in the team
- • Accountable for implementing and complying with AML requirements when performing duties.
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.
- • Be part of Fund & Fiduciary Operations 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, elevate, mitigate and resolve risk, conduct and compliance matters.
Key stakeholders
- • Local Compliance, CMS, client service manager, client onboarding manager, sales
Other Responsibilities
Embed Here for good and Group’s brand and values in China / Financial Security Service / Operations; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures • 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 • 理解、认同并遵守本地法律法规以及渣打内部政策中关于个人问责和职责的要求； • Effectively ensure and intensify internal controls by keeping abreast with developments of applicable local laws and regulations on accountabilities • 跟上本地问责法律法规的发展，以有效地确保并强化内控； • 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 • 审慎勤勉地履行岗位职责，以个人或团队成员的身份，为避免任何导致银行遭受或可能遭受法律制裁、监管处罚、重大财务损失或声誉负面影响而做出努力； • Be responsible for failure to follow relevant rules and processes, failure to properly perform the responsibilities, and implement corrections • 对未遵守相关规范和流程、未适当履行职责以及未执行整改措施承担相应责任； • Cooperate with any investigations or reviews on regulatory failure such as accountability review • 配合任何关于违反监管规定的调查或审查，例如，问责审查。 • Properly perform the duties on management and ensure the effectiveness of internal control • 正确履行管理职责，并确保内控的效率； • Be responsible for regulatory failure or risks arising from or in connection of the event over which the employee has the duties of management and/or leadership • 对负有管理和/或领导责任的事项引起或相关的违反监管规定事件或风险，承担相应责任。 • Be responsible for significant losses due to failure of effectiveness of internal control • 为内控失效造成的重大损失负责。
Skills and Experience
EDUCATION : University Degree TRAINING: • 2-year at least of Direct working experience on Information Disclosure operation in banks, brokers or other financial institutions is preferred. Small enhancement and project relevant experience and fund accounting preferred • Good understanding of local and international securities products and operations • Team player with strong communication skill and commitment. Able to maintain good relationship with clients and colleagues. • Able to work under pressure • Strongly support business innovation or renovation LICENSES: It will be a plus if hold some professional licenses. CERTIFICATIONS: China AMAC Fund Certification is a mandatory LANGUAGES : Good command of spoken and Written English
About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.
Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.
Together we:
Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
What we offer
In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
Flexible working options based around home and office locations, with flexible working patterns.
Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and the global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.
What we offer
In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
Flexible working options based around home and office locations, with flexible working patterns.
Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and the global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.