FC Risk Specialist
Standard Chartered
Taipei, Taiwan,
4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 & Our Ideal Candidate Strategy

  • Input to Group / Region / Country / Client Business operating model design of relevant FCC and business processes.
  • Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the Region / Country / Department for necessary FCC controls.
  • Set and implement the vision, strategy, direction and leadership for the Region / Country / Department , 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 on 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.
  • Support resolution of competing requirements between regulations, for example between AML regulations and data privacy / bank secrecy or information security regulations.
  • Ensure that risk frameworks and associated standards are effectively communicated and understood by process owners.
  • Processes

  • Providing governance and oversight over the implementation of FCC-related policies and procedures in country to ensure compliance with such policies and procedures.
  • Provide advice to relevant stakeholders on compliance with Group standards relating FCC risks
  • Act as (second line) Risk Control Owner under the Group’s Risk Management Framework for those aspects of Regulatory Compliance relating to FCC risks and escalate issues as appropriate.
  • Act as the delegated Risk Framework Owner under the Enterprise Risk Management Framework for AML
  • Oversee the assessment of all AML risks identified in Business and Function (including FCC-owned) processes.
  • Ensure that where risks are outside appetite the root cause is determined and addressed.
  • Act under delegated authority to make client specific risk decisions.
  • Act as the principal point of contact for Country CFCC Advisory and responsible to join up the FCC-function so that effective outcomes are realized in first line processes requiring fewer touch points between FCC and the first line.
  • Equip Country CFCC Advisory Heads & Country CFCC Governance Head with the necessary FCC skills and knowledge, and escalation points within FCC, to discharge their delegated authority for FC risks.
  • Engage with Country CFCC Advisory Heads & Country CFCC Governance Head to ensure that FCC risks are effectively managed in the Businesses in line with the risk frameworks.
  • Provide specialist expertise to Country CFCC Advisory by drawing on resources under direct control and leveraging the wider FCC function.
  • 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.
  • Provide input at business, function, country and individual level as appropriate, on compliance matters which should have a bearing on remuneration pools or individual bonuses (for senior staff).
  • 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

  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management
  • Provide advice on the application of risk management frameworks (e.g. ORF, GRA).
  • 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.
  • Assess risks arising from products / segments / geographies / customers / transactions.
  • 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.
  • Advise relevant stakeholders on outcomes of FCC risks identification and assessment methodologies.
  • Oversee the review and analysis of the client base to identify and manage high risk clients, or specific country reviews.
  • Governance

  • Support senior oversight of FCC country.
  • 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.
  • Engage effectively with senior members of the Business and COO functions where needed.
  • Lead or influence significant programmes of work in the Group in support of the Group’s financial crime compliance objectives, for example major capability upgrades or remediation activities.
  • 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 to achieve the outcomes set out in the Bank’s Conduct Principles : Fair Outcomes for Clients; Effective Financial Markets;
  • Financial Crime Compliance; The Right Environment. *

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