Director, Cfcc Advisory Ccib

vor 2 Monaten

Frankfurt am Main, Deutschland Standard Chartered Vollzeit

**Job***: Governance, Risk Management & Compliance

**Primary Location***: Europe & Americas-Germany-Frankfurt

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 10/Aug/2023, 2:38:24 AM

**Unposting Date***: Ongoing

**JOB SUMMARY**

As part of the CFCC Advisory CCIB, providing advice and guidance to the FM business and especially to the FM private side (GCM — combining CF, LSD and DCM) as well as CCIB CC on Lending Activities on Markets Compliance related matters

S**trategy**
- Ensure compliance of SCB AG's activities, in particular (but not limited to) to the GCM (DCM, Loan Syndication & Distribution and Project Export Finance) as well as CCIB Client Coverage in terms of lending activities (and other countries in which SCB AG is active) with all laws, regulation and relevant standards, in particular with respect to Capital Markets Compliance as described below.
- To support Head of CFCC Advisory CCIB and Head of Compliance SCB AG and the Regional Compliance Team in all matters (including projects), in particular having any relevance to Capital Markets Compliance and, if need be, in all other Compliance matters.
- Act as second line of defence in all matters concerning Private Side activities
- Assisting the Head of CFCC Advisory CCIB and Head of Compliance SCB AG regarding any regulatory queries and/ or investigations, audits, reviews (both, internally or externally) and in the completion or resolution of related matters.
- Regularly update the Compliance Manual to document the essential details of SCB AG's regulatory systems and controls in relation to Capital Markets Compliance to let staff know what is expected of them from a regulatory perspective.
- Proactively identify areas in which training is required and assist in preparation of a training plan.
- Proactively help to implement and establish a comprehensive and sufficient Compliance and control framework for SCB AG in order to fulfil all applicable laws and regulation (German and European laws and regulation and requirements).
- Assist in the roll out of SCB AG policies, procedures and other initiatives, and their compliance with applicable laws and regulation, in particular in relation to Capital Markets activities and matters.
- Act as Deputy for the Head CFCC Advisory CCIB during absence

**Business**
- To provide compliance advice, oversight and support to the businesses and the functions in SCB Germany, in particular (but not limited to) to the FM, Treasury, GCM, Loan Syndication & Distribution and CF on all Capital Markets Compliance (Wertpapier-Compliance) matters with specific focus on the operational and control side as well as respective reporting and exchange membership matters.
- To provide also CFCC Advisory oversight to other business activities in CCIB Client Coverage
- Help to drive the business through general regulatory advice, training and product support.
- Maintain a thorough understanding of legislative and regulatory developments that affect SCB AG's operation and business and regularly communicate those to relevant (business/ functional) stakeholders (e.g. through trainings etc.).
- Engaging in CFCC advisory work to provide guidance to the business on how to comply with relevant requirements in the context of issues that are raised during normal business activities and to ensure that the Bank operates in accordance with relevant local requirements (in particular in the area of Capital Markets activities) and standards of the regulatory system, SCB AG standards and the Code of Conduct so as to protect and enhance the reputation of the Bank.
- Provide solid CFCC advice to all business areas in SCB Germany
- Review and update of all relevant product initiatives, in particular review of PPGs and CAs with respect to their compliance with applicable laws and regulation.
- Review and update of relevant regulatory disclosures (incl. website) and other client communication and information with respect to their compliance with applicable laws and regulation.
- Ensure compliance with relevant Market Abuse regulation (including timely reporting) and proactively develop respective control measures.
- Responsibility (under the direction of the Head of CFCC Advisory CCIB and Head of Compliance SCB AG) and with specific focus on Private Side Compliance:

- The provision of relevant training to German staff and other countries if necessary;
- Review, drafting and implementation/ roll out of policies and standards;
- Development of respective control framework and conduct of control activities;
- Development of relationships and regular liaison with BORMs and Business Managers and other operational risk functions and product development teams to ensure that Compliance are aware of all relevant material developments;
- Identification and the analysis of new regulatory initiatives concerning capital Markets Compliance to ensure all material matters are considered and any necessary procedures are implemented, inc

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