Biz Initiation Assurance Assistant
Standard Chartered Bank
Hong Kong, Hong Kong, Asia

About Standard Chartered

We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation.

This in turn helps us to provide better support to our broad client base. The Role Responsibilities

Business Performance

  • Ensure adequate administrative and operational support to the Business efficiently and effectively
  • Provide timely follow up and accurate tracking and / or reports for BIL applications
  • Ensure all materials provided by RMs for their respective applications meet with the Bank’s policies, internal control standards, compliance standards and audit standards
  • Compile / input all the appropriate data into the appropriate application systems based on established inputting guidelines / methodologies for further loan applications processing
  • Ensure all loan application information adhered to credit guidelines / definitions established and seek clarifications from the appropriate parties ie.
  • Credit Risk Management, Credit Approvers etc

  • Provide feedback to policy team as and when required to fine-tune the credit policy and hygiene rules of front-end system subject to business needs and regulatory requirements
  • Provide appropriate support for new products launches or enhancements
  • Risk Management and Control

  • Ensure compliance with external and internal regulations and policies. Read, understand and comply with all provisions of the Group Code of Conduct.
  • Understand and adhere to the Bank's Risk policies

  • Compliance with internal and external regulatory requirements at all times, in particular for money laundering prevention procedures and reporting any suspicious activity to the Unit Money Laundering Prevention Officer and line manager.
  • Ensure KYC / CDD compliance for all new to bank and existing customers. Exercise risk assessment for new customers by following through all necessary procedures of KYC and mis-selling.
  • Ensure effective complaint management.
  • Report any suspicious transaction immediately to the supervising officer of Fraud Control
  • No failed audit and enhance control and process to minimize audit recommendations
  • Compliance with the Group Sanctions : U.S. Persons Procedures. i.e. must not be involved in business involving countries sanctioned by the U.
  • S. and is not to be involved in any Affected Activity. (applicable to US Person only)

    Sales Governance and Operational Risk Management

  • Review team’s operating instructions / procedures with emphasis on risk and controls (decision control points, process failure points, escalation triggers) to ensure they are fit for the purpose
  • Interpret the approved operating and instructions / procedures for staff to follow, and ensure all staff understand their duties and responsibilities and the need to seek clarification or escalate issues in timely manner.
  • Facilitate regular team discussions on risk awareness, operation and risk control improvements, lessons learned from incidents and identify best practices to strengthen my team’s operational risk awareness and knowledge
  • Conduct on the job training and prepare new joiners for their jobs. Provide close coaching and supervision before new joiners can undertake their full duties and responsibilities to prevent any operational risk
  • 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.

  • Achieve the outcomes set out in the Bank’s Conduct Principles : Fair Outcomes for Clients; Effective Operation of Financial Markets;
  • Financial Crime Prevention; The Right Environment.

  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  • Key Stakeholders

  • Relationship Management Team
  • Product & Segment Team
  • Lending Fulfilment Team
  • Credit Initiation Team
  • Business Banking Operations
  • Other Responsibilities

  • Embed Here for good and Group’s brand and values in HK,
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
  • Our Ideal Candidate

  • Preferably Form 6 / 7(high school) or above with relevant supervisory working experience in fulfilment / sales support roles
  • Good communication and interpersonal skills
  • Good knowledge in Microsoft applications
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