Manager, FCC Surveillance & Monitoring
Standard Chartered Bank
Hong Kong, Hong Kong, Asia
1天前

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

Strategy

  • Input to Group / Region / Country / Client Business operating model design of relevant FCSO and business processes.
  • Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the Region / covered Countries for necessary FCSO operations.
  • Set and implement the vision, strategy, direction and leadership for the Region / covered Countries, consistent with the vision and strategy for FCSO and in support of the Group’s strategic direction and growth aspirations.
  • Business

  • Analyse comprehensive impact of financial crime related regulatory matters on the relevants business area and its operations.
  • Ensure that key changes (to laws, rules, regulations) are communicated and cascaded in Region / covered Countries in coordination with group communications.
  • Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.
  • Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to FCSO.
  • 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.
  • Providing governance and oversight over the implementation of FCSO-related policies and procedures in the Region / covered Countries to ensure compliance with such policies and procedures.
  • Provide advice to relevant stakeholders on compliance with Group standards relating to AML and its related practice areas.
  • People and Talent

  • Provide leadership, management and coaching to direct reports to ensure they are highly engaged and performing to their potential.
  • Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
  • Stimulate an environment where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
  • Collaborate with training teams to input to training curriculum to support closing of capability gaps.
  • Ensure the Region / covered Countries is / are adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address financial crime risks.
  • Ensure staff in the Region / covered Countries have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions.
  • Risk Management

  • Ensure the suitability and quality of case data maintained on enterprise case management systems.
  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management.
  • Apply risk and data analytic tools / techniques to optimise and tune relevant Detection Scenarios, and screening and monitoring systems.
  • Ensure that Detection Scenarios that are developed and deployed are fit-for-purpose.
  • Review and assess existing system and controls relevant to FCSO to ascertain and enhance operational performance and effectiveness.
  • Align / support with the alignment of relevant systems and controls to industry best practice and assist to close out any compliance gaps.
  • Work with relevant stakeholders to ensure that the relevant lists and database as used by the Screening systems are up to date.
  • Apply Group and FCSO 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.
  • Assess risks arising from products / segments / geographies / customers / transactions.
  • Analyse significant financial crime risk events (e.g. SAR’s, non-compliant transactions, production orders) to ensure that all connected parties, particularly cross-border are identified and reported at the appropriate levels internally as well as externally across all relevant jurisdictions.
  • Advise relevant stakeholders on outcomes of AML risk identification and assessment methodologies.
  • Conduct a root cause analysis on control / other failures to ensure lessons learned are disseminated across the Region.
  • Provide intelligence inputs to support calibration of bank’s Risk Methodologies (including aggregate client risk, product risk and country risk assessments).
  • Governance

  • Attend relevant leadership meetings.
  • Provide and support senior oversight of FCSO in the Region / covered Countries.
  • Prepare and cascade lessons learned from audit findings, Financial Crime Compliance (FCC) Assurance activities and specific investigations.
  • Propose control improvements, enhancements and simplifications where appropriate.
  • Support all control checks undertaken by FCSO under the Operational Risk Framework (ORF).
  • Collate, analyse and interpret data in reports to senior management and relevant governance / risk committees.
  • Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and thus drive remediation action within the FCSO function.
  • Project / Change Management

  • Lead or influence significant programmes of work in support of the financial crime compliance objectives.
  • Review new business requirements and provide solutions where required.
  • 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.

  • Support in the leadership of the FCSO 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

  • Head of FCSO, Asia
  • Cluster Head of FCSO, GCNA
  • Covered Country FCSO leads
  • Country Business Units (where relevant)
  • Hubbed FCSO management & support teams
  • Other Responsibilities

  • Embed Here for Good, The Stands and the Group’s brand and values in FCSO Asia.
  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
  • Multiple functions (Dual Hat) as and when required.
  • Our Ideal Candidate

  • Minimum 5 years FCC experience
  • Prior People Management involving small to medium sized teams
  • English fluency required (additional linguistic skills will be considered as beneficial)
  • Educated to Degree level (advanced Degrees such as LL.B., J.D. and / or MBA desirable)
  • Experience holding regional-level role(s) managing multiple country-level stakeholders desirable
  • Experience evaluating Risk issues and tracking remediations required
  • Experience evaluating Controls environments for lapses / improvements required
  • Experience w / New Ways of Working (LEAN / Agile) and associated collaboration tools & methods (e.g. Trello / Mural) desirable
  • ACAMS and / or ACFCS Certified desirable
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