Manager. Regulatory Policy

Contribute towards the future strategic direction and process innovation of Securities Services by keeping abreast of changes in customer needs, technology and business environment and taking pro-active steps to embrace and capitalize on these changes.
Support the roll-out of appropriate quality management systems and other initiatives by the Company/Group.
To support the development and enhancement of the MFA processing systems to meet countries and business needs and more importantly in meeting the needs of the clients.
To implement quality initiatives and activities of the division in accordance to the Group's Quality System.
To perform specific duties as instructed by the team management in accordance to the relevant procedures, guidelines, instructions and standards set in order to meet the productivity and service standards set.
Receiving and monitoring of instructions via s/SSTM and acting on the same with prioritization
To respond to the queries raised by the country, support services & internal teams in a timely & accurate manner.
To ensure necessary approval/ instructions are there in place for account creation / modification /closure of account / manual revenue reversal etc
To ensure Maintain / Update Standing Instruction tracker - Email recipient list / auto debit list / manual handlings list.
Daily monitoring of Audit confirmation and search of accounts
Daily monitoring GRU reports and give match advice - Receivable / Prepaid/ Suspense /Nostro a/c
Receipt of fees / manual monitoring of auto debits and apply in respective systems
Ensure Variance analysis & Reconciliations are followed
Drive team - work, create back up for all process for smooth operation
Comply with group policies and procedures, rules & regulations, code of conduct, C3, etc and Uphold the values of the group and company at all times
To enthusiastically participate in the quality initiatives of the organization and achieve expected results
People & Talent
Facilitate the building of a performance-driven organization by setting SMART objectives, constantly reviewing the dept's and individual performance against these objectives and providing the appropriate support, motivation and guidance to staff to achieve these objectives.
Responsible for succession planning for key positions, managing the attrition of employees and ensuring that a plan is developed and executed for high potential individuals in the department.
Risk Management
Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Policy, Group Sanction Policy and Escalation Procedure.
Be guided accordingly and aware of the roles and responsibilities for money laundering prevention as stipulated in the Money Laundering Prevention (MLP) Group Policy, Money Laundering & Suspicious Transaction Guidelines for Securities Services Management, Suspicious Money Laundering Transaction Reporting Procedures and / or Monitoring Checklist, and Escalation Procedure for Suspicious Money Laundering Transactions.
Ensure due care and diligence is exercised on day to day operational matters relating to Money Laundering and KYC, acquiring relevant knowledge and training; thus, providing support to superiors and subordinates.
Conforming and adhering to the Team's risk profile, by following the guidelines / policies / procedures stipulated for Operation Losses, Escalation Procedures, Securities Services Policies, etc.
Ensure that control and security policies / procedures governing all processes in the department are in place, implemented and reviewed (as and when necessary) and to ensure that these policies / procedure not only continue to be relevant and effective in mitigating risk, but also supports the need for high operational efficiency and excellent customer service.
Ensure awareness and full compliance of all laid down rules, regulations, policies, (including Sanctions Policy) guidelines, procedures, practices and code of conduct imposed by the Company/Group.
No major adverse findings from internal auditors or external auditors including quality audits.
Responsibilities relating to the direction, planning, structure, frameworks (e.g. processes and policies) and oversight. Awareness and understanding of the regulatory framework, in which the Group operates, and the regulatory requirements and expectations relevant to the role.

Regulatory & Business Conduct
Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank. Effective Financial Markets; Financial Crime Compliance; Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Works largely independently under consultation with line manager and working as a team player.
Securities Services GBS India, staffs all level
Securities Services Operation (SSO) Heads in countries
Securities Services GBS India and GBS China
Group Operations Securities Services
Embed Here for good and Group's brand and values in ; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Skills And Experience
Knowledge in Account opening
Securities Services Custodian process
Proficiency in MS office with advanced excel /Word /PPT/ MIS reporting knowledge
Education Commerce graduate
Training Experience in client onboarding process
Certifications Microsoft advance excel
Languages Good communication skill
Graduate or Post graduates
More than 5 years working experience in Client Maintenance related with minimum of 4 years in Securities Services Operations
Understanding of financial markets and instruments.
Knowledge of custody services and securities processing.
Familiarity with regulatory requirements and compliance standards.
Awareness of anti-money laundering (AML) and Know Your Customer (KYC) regulations.
Accuracy in handling documentation and data entry.
Ability to analyze and interpret financial data.
Focus on delivering high-quality service to clients.
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. 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.
Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
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.