US Regulatory Operations Lead

People and Talent

Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.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.Employ, engage and retain high quality people, with succession planning for critical roles.Responsibility to review team structure/capacity plans.Set and monitor job descriptions and objectives for direct reports and provide feedback and rewards in line with their performance against those responsibilities and objectives.Develop the US FM Regulatory Operations direct reports' key skillsets in a structured framework that provides visibility on progress, gaps and direction.

Risk Management

• Manage relevant regimes' risks and issues, and ensure they are visible across relevant governance.
• Responsible for identifying, assessing, monitoring, controlling and mitigating risks to the Group, as well as an awareness and understanding of the main risks facing the Group and the role the individual plays in managing them. This includes identification of key issues and risks for US Regulatory Operations teams, and responsible to put in place appropriate controls and measures.
• Act as Regulatory Operations US's regulatory regimes' risk control owner under the Group's Risk Management Framework from an operational process ownership perspective.

Governance

Responsibilities relating to the direction, planning, structure, frameworks (e.g. processes and policies) and oversight. For example, Responsible for assessing the effectiveness of the Group's arrangements to deliver effective governance, oversight and controls in the business and, if necessary, oversee changes in these areas; 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

• 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 the US Regulatory Operations team 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.

Key Stakeholders

Responsible for the management of the following stakeholders: Operations, Technology, Compliance, Legal, COO team, Front Office (Trade/Sales), regulators, external vendors and other external stakeholders as applicable.Act as lead point of operational contact for all stakeholders to the relevant regimes.

Other Responsibilities

• Embed Here for good and Group's brand and values in US Regulatory Operations team.
• Ensure an ongoing strong understanding of the regulatory transaction reporting landscape, and post-trade regulations and requirements. This includes a strong familiarity with Dodd-Frank, Canada and other regulatory regimes overseen by the US Regulatory Operations team.
• Effective ongoing understanding of OTC derivatives.