Team Leader, FCC Investigations
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


  • Supervise associates and analysts for analysing alerts generated by transaction monitoring system as well as other non-automated cases with financial crime or money laundering concerns
  • Ensure suspicious transactions are thoroughly investigated and Suspicious Activity Reports (SARs) are filed with accurate information in a timely manner
  • Ensure the suitability and quality of case data maintained on enterprise case management systems
  • Propose control improvements, enhancements and simplifications where appropriate
  • Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends
  • Provide advice on AML matters when required and maintain sound working relationship with stakeholders and peers
  • Participate in ad-hoc activities such as monitoring of SFC unlicensed entities, system enhancement testing etc.
  • Processes

  • Develop, keep up to date and recommend for approval by the relevant Risk Committee, appropriate policies / processes / DOIs to address financial crime risks, aligning with relevant regulatory requirements.
  • Work with relevant stakeholders on compliance with Group standards relating to AML / Sanctions / ABC
  • Risk Management

  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management
  • Ensure the suitability and quality of case data maintained on enterprise case management systems
  • Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks
  • Make recommendations (and / or implement) to relevant stakeholders on possible risk management responses to identified risks and / or findings of concerns from investigations
  • Governance

  • Support all control checks undertaken by FCC under the Operational Risk Framework (ORF)
  • Collate, analyse and interpret data in reports to senior management and relevant governance / risk committees
  • 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 GCNA FCC Governance team to 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

  • Business or Unit heads and managers (for risk management and compliance initiatives)
  • Regional and Group FCC colleagues / project teams (system implementation and enhancement)
  • Internal / External Audit and Country Operation Risk (for audit and reviews)
  • Legal and compliance (for interpretation and consultation on legal and regulatory requirements)
  • Regulators and Law Enforcement Agencies (for AML / CTF examinations, SAR filing and crime investigation)
  • Other Responsibilities

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

  • A recognised university degree or professional qualification in Law / Finance / Accounting / Business or related disciplines
  • 3 years or above (for Associate / Team Lead role) of AML / transaction monitoring experience
  • Familiar with local regulatory requirements
  • A sound understanding of suitability considerations, and demonstrate them when reviewing alerts or investigating incidents
  • Good analytical, reporting writing and methodical skills
  • Excellent team player with strong written and oral communications
  • Exercise judgment when to escalate or how to investigate a case, as well as the severity of any exception
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