Controls Operations Officer, CFCC
Standard Chartered
Taipei, Taiwan,
5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 Country operating model design of relevant FCC and business processes.
  • Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the Country for necessary FCC controls.
  • Set and implement the vision, strategy, direction and leadership for the Country, consistent with the vision and strategy for FCC and in support of the Group’s strategic direction and growth aspirations
  • Business

  • Analyse comprehensive impact of financial crime related regulatory matters / law enforcement matterson the relevants business area and its operations.
  • 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 FCC.
  • Processes

  • Act as Process Owner for FCC-owned (sub-) processes under the Group’s Risk Management Framework, including implementation and roll-out of relevant processes and DOIs.
  • Develop, keep-up-to date and recommend for approval by the relevant Risk Committee, appropriate policies / procedures / DOIs to address financial crime risks, aligning with relevant regulatory requirements
  • 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 Country is 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 Country have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions.
  • Risk Management

  • Maintain oversight of risk mitigating action plans.
  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management
  • Ensure that detection scenarios that are developed and deployed are fit-for-purpose.
  • Oversee the appointment of, and manage relationships with watchlist vendors as appropriate.
  • 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.
  • Inform senior management and relevant regulators 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.
  • Anticipate horizon risks in the area of financial crime that may have a significant impact on the Group and develop effective strategies to mitigate such horizon risks.
  • Partner with legal counsels for advice on technical matters.
  • Ensure that significant investigations are concluded internally and externally where relevant (including cross-border).
  • Provide intelligence inputs to support calibration of bank’s Risk Methodologies (including aggregate client risk, product risk and country risk assessments).
  • Define the applicable control standards under the FCC Global Risk Assessment and ORF.
  • Ensure that the relevant lists and database as used by the screening systems are up-to-date
  • Ensure that detection scenarios that are developed and deployed are fit-for-purpose
  • Review and assess existing system and controls relevant to FCC to ascertain operational performance effectiveness
  • Governance

  • Attend relevant leadership meetings.
  • Support senior oversight of FCC country.
  • Ensure tracking and remediation of surveillance and investigations related regulatory findings.
  • In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management and relevant regulators are informed and that actions are taken quickly to remediate and / or activities are ceased.
  • Provide leadership to the FCC network as part of the Group senior FCC management team.
  • Propose control improvements, enhancements and simplifications where appropriate.
  • 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.
  • 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 FCC function.
  • Lead or influence significant programmes of work in support of the financial crime compliance objectives.
  • 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 Taiwan Control Operations Team to achieve the outcomes set out in the Bank’s Conduct Principles : Financial Crime Compliance.
  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
  • Key Stakeholders

  • All branches in Taiwan
  • GBS Hubs
  • Regional FC Control
  • CFCC Advisory and Governance
  • Business Segments and Products
  • Our Ideal Candidate

    Over 3 years of dedicated compliance or AML / CFT experiences.

    Obtain professional certificate issued by a domestic institution recognized by the FSC or ACAMS : Association of Certified Anti-Money Laundering Specialist.

    Attend 24-hour training courses conducted by institutions recognized by the FSC and obtain the certificate of completion therefor.

    Or attend 12-hour AML / CFT training courses conducted by institutions recognized by FSC if compliance officer qualification obtained already.

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