Operations and Compliance
• Ensure satisfactory ratings in all internal/external audits.
• Ensure compliance to all process notes and circulars issued from time to time.
• Contribute to timely and accurate submission of all returns both internal and statutory for sales and service.
• Undertake accurate and timely processing of all customer instructions as per applicable processes/ circulars.
• Understand the Bank’s mis-selling & sales policies as well as policies and procedures issued in relation to ORMA, Group Code of Conduct, KYC/CDD/EDD and Money laundering prevention. Comply with the same, including highlighting any suspicious transactions as per guidelines.
• Complete all requisite trainings on time
• Cross Border & FEMA certified
Regulatory & Business Conduct
• 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.
• Lead to achieve the outcomes set out in the Bank’s Conduct Principles:
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
• Must not do mis selling and follow group code of conduct in dealing with customer as well as colleagues.
Key Stakeholders
• NR Segment/ Wealth Management Unit