Job Summary
Standard Chartered is seeking an experienced Compliance, Conduct and Financial Crime Risk professional to support the Bank’s commitment to being “Here for Good.” This role will help strengthen a sustainable risk and compliance framework across Debt Capital Markets and Global Banking, ensuring that regulatory expectations, conduct standards and financial crime risk management practices are embedded into day-to-day business activity.
This Director-level role will provide dedicated Compliance, Financial Crime and Conduct Risk advisory coverage for Debt Capital Markets within the Bank’s Broker Dealer entity across the US/Americas region.
As an independent control function and a core component of the firm’s second line of defence, Compliance is responsible for assessing compliance, regulatory and reputational risk; monitoring new and evolving laws, rules and regulations; designing and implementing appropriate controls, policies, procedures and training; conducting independent testing; investigating, surveilling and monitoring potential compliance risks and breaches; and leading the firm’s response to regulatory examinations, audits and inquiries.
The Director, CFCR Advisory, Debt Capital Markets will play a critical role in helping the firm prevent, detect and mitigate compliance, regulatory and reputational risk across the Broker Dealer business by articulating, maintaining and advising on the standards of conduct expected of the firm’s businesses, as well as the laws, regulations and internal policies governing these activities.
The role will include providing strategic and day-to-day advisory support to the Debt Capital Markets business on enhanced capabilities within the Bank’s Broker Dealer entity, including, but not limited to, underwriting activities and distribution/sales activities related to capital markets issuances.
This Business-Aligned Compliance role provides both functional coverage to its aligned businesses (sales and trading) as well as general compliance for the product areas covered within those businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.
Key Responsibilities
- Serve as part of an independent second-line risk control function, providing specialist compliance, conduct and financial crime risk advice, oversight and constructive challenge across Debt Capital Markets and Global Banking activities.
- Assess the effectiveness of the Bank’s CFCR risk frameworks and support the execution of relevant Principal Risk Type Frameworks in a manner proportionate to the nature, scale and complexity of the business.
- Provide day-to-day Compliance advisory coverage for Global Banking, including support for new business initiatives, product governance, bespoke projects, remedial activities and transactional matters.
- Advise business stakeholders on applicable laws, regulations, regulatory expectations and internal standards, helping ensure business is conducted ethically, responsibly and within risk appetite.
- Identify, assess and escalate material risks, regulatory breaches or issues where Bank or broker-dealer risk tolerances may be exceeded, ensuring timely action and appropriate governance oversight.
- Build effective relationships with senior business leaders, CFCR colleagues, functional partners and other key stakeholders, providing timely, practical and commercially aware guidance.
- Support the management of regulatory relationships and contribute to regulatory engagement, governance forums, management reporting and risk committee materials as required.
- Develop, maintain and enhance compliance policies, procedures, desk instructions, training materials and related controls to reflect regulatory requirements, internal standards and industry best practices.
- Monitor regulatory developments, emerging risks and market practices, translating changes into practical guidance and effective implementation plans for relevant business areas.
- Support compliance monitoring, surveillance, assurance activities and risk assessments, including Compliance Risk Assessments, Financial Crime Risk Assessments and Product Risk Assessments.
Day-to-Day Tasks
- The successful candidate will support the development and implementation of CFCR policies, procedures and advisory standards aligned to the Bank’s strategic direction, regulatory obligations and growth objectives.
- This includes partnering closely with senior stakeholders to promote a strong culture of compliance, ethical conduct and proactive risk management, while supporting a consistent “One Bank” approach across regions, businesses and client segments.
- This role will contribute to the identification, assessment, mitigation and reporting of compliance, conduct and financial crime risks, with a particular focus on Debt Capital Markets and Global Banking.
- The individual will work with business, risk, audit and compliance stakeholders to ensure appropriate escalation, ownership and remediation of issues, while supporting effective governance, management information, risk acceptance processes and control enhancements.
- The role will help promote an environment of openness, trust, risk awareness and accountability, where high standards of conduct and compliance are consistently demonstrated.
- The candidate will collaborate with training teams, CFCR colleagues and business partners to strengthen capability, share best practices and support continuous improvement across the compliance advisory network.
Qualifications
- Bachelor’s degree from an accredited institution, or equivalent professional experience.
- Advanced degree, such as an MBA, J.D. or equivalent qualification, will be viewed positively.
- Strong knowledge of U.S. banking regulations and relevant industry best practices.
- Ability to understand and explain complex and evolving securities regulations and supervision requirements, including FINRA Rule 3110.
- Ability to evaluate regulatory and reputational risks associated with underwriting debt issuances and complex credit issuances.
- Knowledge of risk identification, risk assessment, and controls development.
- Strong interpersonal and communication skills, with multicultural awareness and sensitivity.
- Strong project management and organizational skills.
- Ability to handle sensitive matters at all levels of the organization with discretion and confidentiality.
- Ability to collaborate and work effectively across multiple countries and regions with business and functional stakeholders.
- Series 7 and Series 24 licenses preferred.
- ACAMS certification, or equivalent certification, strongly preferred.
Experience we look for
- Minimum of 8+ years of experience in a financial crime compliance role within the financial services or banking industry.
- Strong experience, including 5+ years, advising on applicable FINRA and SEC securities regulations.
- Strong experience, including 5+ years, with debt capital markets products, specifically underwriting debt issuances, credit trading, repos, and trading agencies, including Fannie Mae and Freddie Mac debt instruments.
- Experience in broker-dealer supervision, including training, certifications, and monitoring.
- Experience updating and implementing a Continuing Membership Application (“CMA”) and Form BD.
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.
Recruitment Assessments
Expected annual base pay range for the role is 140,300 USD to 210,400 USD. The final offer will be determined on an individualised basis using a number of variables, including but not limited to skill set, depth of experience and education, internal relativity, and specific work location. At Standard Chartered Bank, Base pay is only part of the total compensation package. Discretionary variable pay and a range of attractive bank sponsored benefit programs are available and designed to foster employee overall health and well-being including, but not limited to, a best in class 401k plan with up to 8% employer match, robust medical plan coverage with employer funded Health Savings Accounts, inclusive family building benefits, and flexible/hybrid working arrangements for many of our positions subject to role specific considerations.
Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.
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