Snr Specialist, FCSO Case Investigations

Job Summary
Strategy

• Support the implementation of the FCSO strategy by escalating appropriate FCC and AML surveillance issues and executing activities in line with guidance documents, Group requirements and regulatory expectations.
• Day to day handling of casework and queue management for the Country… FCSO team.
• Maintain an awareness and understanding of the bank's business strategy and align the financial crime surveillance operations program.

Business

• Perform a role as FCSO Investigator within the country Financial Crime Surveillance Operations team.
• Perform duties such as Transaction Monitoring, Global Name Screening, List Management, KCSA/CST checks, Media Monitoring, Alert/Risk Event Investigation, Production Order management and investigation.
• Support and guide relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.
• Develop good working relationships with key stakeholders in the Business Segments.
• Develop a good working relationship with counterparts in GBS FCSO and attend any Service Delivery Meetings as required.
• Conduct BCP / DR testing as required.
• Ensure timely reporting and escalation of significant AML/CFT risk issues to Head FCSO in country and/or Country Head Financial Crime Compliance.
• Coordinate with the relevant operations units to ensure that the relevant lists and database used in screening, transaction monitoring and investigation are up to date and relevant.
• Ensure the suitability and quality of case data maintained on enterprise case management systems.
• Support all control checks undertaken by FCSO under the Operational Risk (ORF).
• Ensure quality assurance is in place on transaction monitoring and customer name screening.

Key Responsibilities
Processes

• Daily management of the Watchlists, including but not limited to; timely additions to the relevant watchlist, and watchlist reconciliation when and as needed as directed by Head FCSO.
• Support Head FCSO with any complex investigations as required.
• Day to day management of legal orders / production orders including responding to law enforcement and conducting related investigations where appropriate (subjected to final decision from Group on the legal orders / production orders process).
• Day to day processing of Transaction Monitoring (TM) and Name Screening (NS) cases in line with AAA procedures and in a timely manner within agreed TAT's whilst maintaining Quality Control/Quality Assurance results in line with Group and local expectations.
• Ensure timely initiation of any follow up actions to effectively process alerts in TM and NS with clear narratives.
• Assist the Head FCSO to implement investigation and surveillance standards set by regulators and the Group FCC function (via processes defined by Group FCSO GPO's), and Country FCC.
• Reporting Internal SARs for cases escalated through FCSO screening or transaction monitoring processes to Country FCC / CMLCO.

People & Talent

• Promote a culture of openness, trust, and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
• Demonstrate exemplary integrity, ethics, and values.
• Develop skills with continuous learning in the Financial Crime Surveillance Operations environment.

Risk Management

• Conduct day to day management of Production Orders (subjected to final decision from Group on the legal order/ production order process), List Management (e.g. WL addition), TM, TS & NS activity by developing and deploying sound analytical and investigative skills to produce balanced judgements in relation to financial crime risk including concise rationale and clear follow on action.
• Utilize existing data analytic tools, techniques, and systems to optimize the quality of casework and ensure efficiency to include systems such as iCDD, eOPS, Accuity, Mantas, ECM etc.
• Ensure the suitability and quality of case data maintained in various internal trackers including the RFI tracker, TM and NS case logs and relevant List Management logs.
• Monitor detection scenarios to ensure they are fit-for-purpose, providing feedback to Head FCSO where false positives or immediate emerging risks are identified.
• Identify and highlight any compliance gaps in existing controls or relevant systems.
• Apply Group and FCC policies and processes (TM, NS, AML surveillance, client screening, risk assessment) to manage risks.
• As directed by the Head FCSO, manage interaction / communication / meetings with stakeholders and other departments as and when needed in order to mitigate risks.
• Gathering and processing risk data related to FCSO processes to meet the Group's risk reporting requirements.

Governance

• 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.
• Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and support in remediation actions within the FCSO function.
• Be accountable for identification and escalation of potential risks and issues to Head FCSO in country.
• Provide support to the country Head FCSO in engagement of Second Line of Defence for approval, guidance and challenge for FCSO processes.

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

Key stakeholders

• Regional Head FCSO, ASIA and GBS FCSO
• Country Head of Financial Crime Compliance / CMLCO and FCC
• Country CFCC Advisory & Governance
• Country Business Operations and teams
• Group List Management Team / SPOT and PMM Teams

Other Responsibilities
Embed Here for good and Group's brand and values in team [Malaysia / OPS FCSO / OPS FCSO Regional Monitoring]; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats); Deliver advice, guidance and training to the various business teams across the bank as required. Provide back up support to FCSO team colleagues as required.

Qualifications

• Education: Diploma, Bachelor's Degree (Any Field)
• Certifications: Acams (Preferably)
• Languages: English

Skills And Experience

• Compliance Policies and Standards
• Surveillance (including Screening and Monitoring)
• Investigations

Competencies
Action Oriented

Collaborates

Customer Focus

Gives Clarity & Guidance

Manages Ambiguity

Develops Talent

Drives Vision & Purpose

Nimble Learning

Decision Quality

Courage

Instills Trust

Strategic Mindset

Technical Competencies: This is a generic competency to evaluate candidate on role-specific technical skills and requirements

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
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