Manager, FCC Investigations

Job Description

Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role youve 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.Role Responsibilities Strategy
• Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the respective team for necessary FCC controls.
Business
• 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 Surveillance Excellence 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.
Processes
• Perform quality control process for transaction monitoring and name screening alerts as stated in the DOI s and by employing a risk based approach to address financial crime/money laundering risks.
• Assist in publishing quality control results and participate/lead discussions with the investigative teams to highlighted identified exceptions and thematic trends, if any.
• Adhere to expected deadlines as stated in the DOI s and recommend appropriate process/DOI changes.
People and Talent
• 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.
Risk Management
• Inform senior management of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and/or activities are ceased.
• QC outcome including supervisory checks to be performed / shared with OR testing team for performance of CST/KCI.
Governance
• Propose process improvements, enhancements and simplifications where appropriate.
• Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Control Outcome framework.
• In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management are informed and that actions are taken quickly to remediate and/or activities are ceased.
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 CFCC 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.
• Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association.
Key Stakeholders
• FCC Case Investigation Team within the country.
• Internal and External reviewers.
Other Responsibilities
• Embed Here for good and Group s brand and values in FCC Controls.
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Our Ideal Candidate
• CAMS, CAME, certifications preferred.
Visit our careers website www.sc.com/careers ,

Keyskills :
board of directorskeeping things simplehuman skillslife insurancequality controlforward planningcrime prevention