Head, Markets Onboarding Reg Due Diligence

Roles & Responsibilities

Job Description

Are you passionate about regulatory excellence, client experience, and operational transformation? Join us as Head of Markets Onboarding – Regulatory Due Diligence & Contract Negotiation, where you will lead the global strategy and execution for regulatory onboarding, due diligence, and trading documentation. You will be the key driver of change at the intersection of regulation, legal risk, and client lifecycle management – ensuring our processes are scalable, efficient, compliant, and client-centric.

Reporting directly to the Global Head of Markets Business & Client Solutions, you will oversee a high-performing global team and work with stakeholders across legal, compliance, sales, technology, and operations to deliver seamless onboarding experiences and ensure we stay ahead of global financial regulations.

Job Summary

This role could be based in UK and Singapore. When you start the application process you will be presented with a drop down menu showing all countries, Please ensure that you select a country where the role is based

The Markets Business & Client Solutions (BCS) brings together the Global Markets Middle Office Team, Markets Client Solutions, the In-Country Markets Operations and Markets Client Onboarding footprint to foster consistency in client and business face-off across products and geographies.

Reporting directly to the Global Head, Markets Business & Client Solutions, successful will play the role of 'Markets Contracts & Regulatory Due Diligence' and will be responsible for

• For developing, executing, and overseeing regulatory onboarding frameworks and legal contract governance across Corporate and Institutional Banking (CIB) business.

• This role ensures seamless integration of global financial regulatory requirements into the firm's client onboarding, counterparty due diligence, and trading agreement lifecycle management functions.

• This role operates at the intersection of regulatory change, legal risk management, trading governance, and operational efficiency, with a strategic mandate to transform how regulatory obligations are implemented into scalable, auditable, and automated onboarding and documentation ecosystems.

• The incumbent will lead global teams, own governance for client regulatory readiness, and serve as the control point for legal agreement compliance and due diligence standards across jurisdictions.

This is a strategic hire and will include a mandate to embed strong & robust operating models, risk & control principles, enact behavioural change and develop a client focussed culture across the organisation, the effective management of stakeholder relationships and ensuring compliance with relevant regulations and internal policies across.

This role will be responsible for defining the 'north star' for Markets Contracts & Regulatory Due Diligence process, driving the journey towards the target state and ensuring that the process is executed with adequate controls & management oversight so as to ensure that the risks managed appropriately.

Key Responsibilities

Strategy

• Own the design and global rollout of regulatory due diligence processes for CIB clients.

• Ensure the due diligence framework satisfies requirements under CFTC, SEC, FINRA, FCA, ESMA, MAS, HKMA, and other global regulatory bodies.

• Oversee implementation of regulatory checks and classifications for client and counterparty onboarding, including but not limited to:

o MiFID II client categorization

o LEI compliance

o SFTR/EMIR reporting mandates

• Own the full lifecycle of trading-related documentation, including onboarding agreements, master trading documentation (ISDA, CSA, etc)

• Collaborate with Legal and Business Documentation Units to ensure all agreements include appropriate language reflecting:

o Dodd-Frank Protocols

o EMIR Portfolio Reconciliation & Dispute Resolution clauses

o UMR margin documentation

• Maintain contract standards and oversee clause libraries, fallback provisions, and control points for contract versioning.

• Drive client experience and business efficiency through end-to-end digitisation and transformation agenda for the process vis-à-vis the defined 'north star'.

• Drive continuous improvement and innovate:

o Partner with Technology to deliver transformation.

• Work with frontline to identify pain points and drive improvements.

• Ensure commercial efficiency of the process through client focussed design.

Process Execution, Governance, Policy Adherence and Risk Management

• Partner with regulatory change and compliance teams to translate rule changes into actionable onboarding and contract updates.

• Oversee firm-wide implementation of major regulatory initiatives (e.g., UMR Phases).

• Lead regulatory remediation programs where legacy clients or contracts require uplift or re-papering.

• Define implementation KPIs and track cross-functional execution across Compliance, Legal, Ops, Technology, and Front Office.

• Own the strategic roadmap for regulatory CLM and due diligence platforms from a process owner perspective.

• Define functional specifications for regulatory onboarding and contract execution workflow automation, regulatory data capture, and audit trail requirements.

• Oversee system integrations with client reference data, due diligence platforms, regulatory reporting systems, and legal repositories.

• Drive a lean and measurable process execution through simplification and standardization while allowing exceptions and variations to cater to business and / or regional nuances.

• Build a delivery model to provide follow the sun support operations model.

• Ensure that the risks associated with the process are identified and mitigated through appropriate control mechanism.

• Establish metrices for reporting process efficiency and process risks and measure, report and manage process efficiency and process risks through relevant stakeholders and forums.

• Represent audit and attestations of the underlying process areas.

• Responsible for assessing the effectiveness of process to ensure effective governance, oversight, & controls, and if necessary, oversee changes.

• Continuous review of procedures and process

• Ensure that the process is adhering to all the internal policies and standards.

• Adherence to Ops Risk Framework standards of implementation and process management.

• Adherence to Ops Risk Framework standards of implementation and process management.

• Accountable to ensure that the onboarding process caters to regulatory policies impacting Markets account opening.

• Ensure that the policies are adhered to in a timely and through commercially efficient implementations.

• Provide best in class financial markets regulatory due diligence experience to clients.

• Ensure compliance adherence through an approach complementing the transformation agenda.

• Accountable for defining regulatory implementation roadmap and drive demand & prioritisation for the regulatory implementation book of work impacting the Markets account opening process.

Collaboration, Stakeholder Engagement & Team Management

• Chair or co-chair governance forums overseeing client regulatory readiness, onboarding controls, and contract management policy adherence.

• Ensure global policies, procedures, and controls governing onboarding, legal documentation, and counterparty risk are current, standardized, and enforced.

• Establish control frameworks and QA programs to test the completeness, accuracy, and timeliness of due diligence and contract obligations.

• Support internal audits and regulatory exams, preparing documentation and managing issue remediation for any control deficiencies.

• Build bridges across the bank to simplify current operating model, remove siloes, create efficiencies, and identify new opportunities.

• Collaborate with other business units, such as Front Office and Compliance, to ensure seamless integration and information sharing.

• Active industry leadership and steer with global view

• 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.

• 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.

• Employ, engage, and retain high quality people, with succession planning for critical roles.

• Responsibility to review team structure/capacity plans.

• Lead and mentor global teams responsible for regulatory onboarding implementation, documentation governance, and contract negotiation operations.

• Act as key interface for front office (e.g., Sales, Trading, Coverage) on client onboarding, regulatory readiness, and document negotiation escalations.

• Serve as a senior representative in industry working groups and regulatory roundtables focused on client documentation and due diligence standards.

Key Stakeholders

• CIB MT, Markets COO & MT, Markets B&C Solutions MT

• Operations Heads; Finance Head; Country / Regional Operations teams; Country / Regional Business teams

• Business Finance, Operations Finance

• Client Coverage COO Management Team

• Conduct, Financial Crime & Compliance (CFCC)

• Group Operational Risk

• Client Management

• Global Business Services (GBS)

• Technology & Innovation

• Relationship Management Team

Other Responsibilities

• Leverage the opportunity provided by Corporate Social Responsibility to enhance the Group's internal and external reputation and indirectly influence the bottom line.

• Promote the Group's brand and here for good with employees, clients, and regulators.

• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

• Maintain effective communication with key stakeholders, including regulators and staff.

Our Ideal Candidate

• 15+ years experience of financial market experience ideally from a top tier Bank
• University degree in related subject (preferably in Finance)
• Previous experience in Markets account opening process and regulatory implementation.
• Strong domain knowledge of Markets Onboarding process
• Strong understanding Markets Onboarding Regulatory Due Diligence requirements.
• Experienced people manager & proven track record of managing high performing global teams and client delivery.
• Strategic mindset & forward-thinking vision
• Influencing skills – Able to simplify complex problems / scenarios to a wide audience and gain stakeholder buy-in
• Proven success implementing complex regulatory programs impacting client onboarding and legal agreement management.
• Deep understanding of global financial regulations and legal obligations across jurisdictions, including:
  • Dodd-Frank
  • EMIR, MiFID II, SFTR
  • SEC and CFTC rules
  • UMR phases and cross-border margining
• Strong knowledge of derivatives contracts, client regulatory classification models, and automated onboarding workflows.
• Demonstrated success managing multi-region teams, fostering talent development, and aligning cross-functional priorities.
• Familiarity with industry CLM platforms (e.g., Fenergo), onboarding systems, and data lineage governance.
• Deep understanding of internal controls, audit readiness, and risk management frameworks in regulated environments.

Role Specific Technical Competencies

• Markets Onboarding

• Markets Regulatory Due Diligence

• Risk Management

• Financial Service Industry

• Planning Tactical & Strategic

• Problem Solving

• Process Management

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents and we can't wait to see the talents you can bring us.

Our purpose, to drive commerce and prosperity through our unique diversity, together with our brand promise, to be here for good are achieved by how we each live our valued behaviours. When you work with us, you'll see how we value difference and advocate inclusion.

Together we:

• Do the right thing and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
• Never settle, continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

In line with our Fair Pay Charter, we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations.
• Time-off including annual leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.

Recruitment Assessments

Some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

Visit our careers website www.sc.com/careers

Tell employers what skills you have

Charter
Assertive
Due Diligence
Risk Management
Stakeholder Engagement
Corporate Social Responsibility
FINRA
Dispute Resolution
Process Management
Team Management
Banking
Finance
Senior Stakeholder Management
Oral & Written Communication Skills
Contract Negotiation

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