Help the Group meet its commitment of being “Here for Good” by building a sustainable compliance framework that places regulatory and compliance best practice standards, and a culture of appropriate conduct at the forefront of the Group’s agenda.
- As an independent second line risk control function, execute the relevant aspects of the Compliance framework through robust independent risk control and the provision of specialist advice and constructive challenge in a manner proportionate to the nature, scale and complexity of the Group’s business.
- Proactively support and challenge the Group’s businesses and functions to exhibit appropriate conduct, comply with regulatory and compliance requirements and strive to achieve fair outcome for the Group’s clients.
- Maintain constructive and effective relationships with Business Heads/Business Chief Operating Officers (“COOs”),and assist relevant Compliance product heads to interface with and support all key business stakeholders.
- Support and implement the vision, strategy, direction and leadership for CFCC Advisory for Private Side businesses and Transactional Conflicts for the Group, consistent with Global Head, CFCC Private Side (“Global Head”) and Group Head of Control Room, vision and strategy for the CFCC function and in support of the Bank’s strategic direction and growth aspirations.
- Provide regulatory advice, analysis (and challenge when appropriate) in relation to the full product life cycle including product design through to post sale reviews/ assessments, new business initiatives, bespoke projects, remedial activities (including nature, scale and rigour of past business reviews), transitional investigations.
- Establish and maintain effective processes (including training, advice and support) to ensure that policies, procedures and standards to address compliance risks (including financial crime) are effectively implemented and adhered to across Private Side businesses and Compliance Control Room in the region.