Director, Compliance Advisory, Debt Capital Markets, US/Americas

Job Summary

Standard Chartered is seeking an experienced Compliance, Conduct and Financial Crime Risk professional to support the Bank’s commitment to being “Here for Good.” This role will help strengthen a sustainable risk and compliance framework across Debt Capital Markets and Global Banking, ensuring that regulatory expectations, conduct standards and financial crime risk management practices are embedded into day-to-day business activity.

This Director-level role will provide dedicated Compliance, Financial Crime and Conduct Risk advisory coverage for Debt Capital Markets within the Bank’s Broker Dealer entity across the US/Americas region.

As an independent control function and a core component of the firm’s second line of defence, Compliance is responsible for assessing compliance, regulatory and reputational risk; monitoring new and evolving laws, rules and regulations; designing and implementing appropriate controls, policies, procedures and training; conducting independent testing; investigating, surveilling and monitoring potential compliance risks and breaches; and leading the firm’s response to regulatory examinations, audits and inquiries.

The Director, CFCR Advisory, Debt Capital Markets will play a critical role in helping the firm prevent, detect and mitigate compliance, regulatory and reputational risk across the Broker Dealer business by articulating, maintaining and advising on the standards of conduct expected of the firm’s businesses, as well as the laws, regulations and internal policies governing these activities.

The role will include providing strategic and day-to-day advisory support to the Debt Capital Markets business on enhanced capabilities within the Bank’s Broker Dealer entity, including, but not limited to, underwriting activities and distribution/sales activities related to capital markets issuances.

This Business-Aligned Compliance role provides both functional coverage to its aligned businesses (sales and trading) as well as general compliance for the product areas covered within those businesses, while working closely with other firm departments, including Legal, Risk, Finance, Operations, Technology, and Internal Audit.

Key Responsibilities

• Serve as part of an independent second-line risk control function, providing specialist compliance, conduct and financial crime risk advice, oversight and constructive challenge across Debt Capital Markets and Global Banking activities. • Assess the effectiveness of the Bank’s CFCR risk frameworks and support the execution of relevant Principal Risk Type Frameworks in a manner proportionate to the nature, scale and complexity of the business. • Provide day-to-day Compliance advisory coverage for Global Banking, including support for new business initiatives, product governance, bespoke projects, remedial activities and transactional matters. • Advise business stakeholders on applicable laws, regulations, regulatory expectations and internal standards, helping ensure business is conducted ethically, responsibly and within risk appetite. • Identify, assess and escalate material risks, regulatory breaches or issues where Bank or broker-dealer risk tolerances may be exceeded, ensuring timely action and appropriate governance oversight. • Build effective relationships with senior business leaders, CFCR colleagues, functional partners and other key stakeholders, providing timely, practical and commercially aware guidance. • Support the management of regulatory relationships and contribute to regulatory engagement, governance forums, management reporting and risk committee materials as required. • Develop, maintain and enhance compliance policies, procedures, desk instructions, training materials and related controls to reflect regulatory requirements, internal standards and industry best practices. • Monitor regulatory developments, emerging risks and market practices, translating changes into practical guidance and effective implementation plans for relevant business areas. • Support compliance monitoring, surveillance, assurance activities and risk assessments, including Compliance Risk Assessments, Financial Crime Risk Assessments and Product Risk Assessments.