Head, PvB BRM, CPBB HK

The role holder is accountable for supporting the strategic business agenda while maintaining risk and governance oversight, alongside the Private Banking COO team. The person will be responsible for managing the key risk and governance forums in PvB Centre.

As the Head of Business Risk management in PvB, the role holder is responsible for maintaining the governance of infrastructure processes and frameworks for robust compliance and controls. E.g. CDD / AML and sanction checks, Sales and Suitability, Fraud, Cross Border, protection of Bank and Client information / assets, etc.

• Ensure there is a framework for effective management of Conduct and Operational risks across the PvB business and in compliance with applicable internal policies and external laws and regulations across our markets.
• Accountable for country roll-out and embedding of the Operational Risk Framework and Enterprise Risk Management Framework linked to the PvB Business to ensure appropriate focus on “high" and “very high" risk issues.
• Responsible to monitor and minimize operational losses and audit failures in conjunction with Country and Regional COO, ensuring appropriate focus on issues and resolutions.
• Work with relevant Committees to ensure processes for products are fit for purpose and meet regulatory requirements.
• Supports the Head of Business Risk Management and PvB Centre COO to execute responsibilities as outlined in the Group Operational Risk Type Framework.
• maintaining a strong and appropriate control environment covering PvB businesses.
• Restricting business if existing infrastructure and processes, capacity or capability are not fit to execute business within operational risk tolerance, regulatory standards or growth aspirations.
• Responsible to manage regulatory audit / inspections on Operations teams in country / region. Represent the Bank as appropriate to regulators when required.
• To perform governance to ensure adherence to ICS policy and procedures at CJ level.
• Identify sources of risk through changes in the external environment, new regulation, new products, changes to business strategy, incidents, reviews and other measures of control effectiveness.
• Provide training and communications to those aligned under the Client Journey First Line to promote awareness and continuous Risk Management.
• Responsible for mitigating risk through suitable controls as part of the overall process design and ensuring the implementation of remedial actions covering both global standard processes and any local deviations.

• Maintain strong stakeholder engagement with Technology Services, CMT(s), Risk and Compliance and Group Internal Audit to ensure alignment across stakeholder groups.
• Escalate appropriately to ensure the Head of Business Risk Management and PvB COO is updated and able to intervene as required.
• Ensure appropriate representation across the stakeholder groups in governance and delivery forums.

• 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. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
• Support the PvB COO to achieve the outcomes set out in the Bank’s Conduct Principles: Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Ensure compliance to Reg reporting Policy / standard in line with Compliance Risk Type Framework.

Business Continuity Management

• Liaise with Business Head / senior staff to complete and maintain a Business Impact Analysis and Department Business Continuity Plan, renewable at least annually or more often whenever there are relevant changes in the department.
• Responsible for coordinating departmental BC Plan Testing: Home Working (where applicable), Recovery Site Exercises and Telephone Call Cascade (via Everbridge), plus Desktop Plan Walkthrough Exercises as organised by the Business Resilience Manager.
• Responsible and accountable for the oversight of offshoring activities and to escalate and ensure remediation of any material shortfalls.
• Ensure issues raised following an exercise are resolved.

• Champion and act as a role model of Group’s value and culture
• Lead through example and build the appropriate culture and values. Sets appropriate tone and expectations for the team and work in collaboration with risk and control partners.
• Lead and support a change in mindset, building a culture of client centricity, agility, and accountability through standardised metrics and measurement.
• Set effective metrics and standards, transparently communicating them to team members, providing feedback and rewarding employees accordingly.
• Ensure the provision of ongoing training and development of people and ensure that holders of all critical functions are suitably skilled and qualified for their roles ensuring that they have effective supervision in place to mitigate any risks.
• Drive training and communications to promote awareness and continuous learning for risk control and governance aspects.
• Employ, engage and retain high quality people with succession planning for critical roles.
• Set the appropriate tone and expectation for the wider team.

• Bachelor's degree qualified, of 10 years of solid experience in risk management with leadership responsibilities within private banking business or wealth management.
• Excellent communication and interpersonal skills to liaise with all levels, articulate complex matters and deliver detail and professional presentation to senior management.
• Proven people management skill with ability to work collaboratively and motivate team members to deliver to their best abilities.
• Excellent analytical risk assessment skill and proactively identify emerging risk.
• Proficiency in MS Excel, PowerPoint and Word is a must.

• Manage Conduct
• Manage Risk
• Manage People
• Manage Change
• Business Facilitation
• Manage Frontline Risk 

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