Job Summary
The Sales Compliance Officer is responsible for performing Wealth Management sales documentation checks and call-back/call monitoring reviews to ensure compliance with internal standards, regulatory requirements and risk frameworks. The role involves timely and accurate execution of controls, escalation of emerging risks, and close collaboration with stakeholders to maintain robust governance and assurance over sales activities.
Job Responsibility
Strategy
- Maintain a sound understanding of Wealth Management documentation checks and call-back/call monitoring procedures and processes.
Business
- Perform Wealth Management sales documentation checks, call-back/call monitoring approvals and reviews.
- Identify and escalate emerging risks to relevant stakeholders in a timely manner.
Processes
- Perform Wealth Management sales documentation checks in accordance with the Customer Assurance Unit Departmental/Operational Instructions (DOI).
- Perform call-back/call monitoring activities in line with the approved procedures and DOI.
- Ensure accurate and complete recording of documentation checks and call-back/call monitoring outcomes in SharePoint.
- Complete call-back and documentation checks within the agreed turnaround time (TAT).
- Escalate and track cases that require further clarification with relevant parties within the stipulated TAT.
- Escalate issues and significant deviations to the Team Lead / Senior Manager for further action.
Risk Management
- Identify, assess, monitor and help mitigate risks arising from sales documentation and call-back/call monitoring activities.
- Ensure appropriate controls and measures are consistently applied and adhered to.
Governance
- Ensure full adherence to documentation check and call-back/call monitoring guidelines and frameworks as stated in the checklists and DOIs.
- Support the achievement of a minimum “Acceptable” rating and zero high-risk breaches in audit reviews and operational loss events.
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.
- Understand and ensure compliance, in both letter and spirit, with all applicable laws, regulations, guidelines and the Group Code of Conduct.
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance issues.
- Exercise authorities delegated by the Board of Directors and act in accordance with the Articles of Association (or equivalent).
Qualifications
- Bachelor’s degree in Business, Finance, Marketing or related field.
- Minimum 3 years of banking experience, preferably in a sales or governance/compliance-related role.
- Strong understanding of banking products and Wealth Management processes (an advantage).
- Strong attention to detail, with a high level of accuracy in documentation review.
- Good communication and stakeholder management skills.
- Ability to work under pressure and meet tight deadlines.
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 other human skills, 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.