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Strategy (Responsibilities that are related to the development and implementation of a strategy)
Business (Responsibilities related to the delivery of business and / or financial objectives) * 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 polices related to FCC.
Processes (Processes for which the role is responsible under the ORF as 1st & 2nd line; for executing / completing, and for supervising) * 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. * Provide advice to relevant stakeholders on compliance with Group standards relating to AML. * Work with the business and support units to investigate and research anti-money laundering (AML) and counter terrorist financing (CTF) cases. * Provide input and support in the process of enhancing and developing controls and to support the operation of such enhancements and controls. * Ensure that all Alerts/Cases escalated to Europe FCC are reviewed and concluded in a timely manner according to the appropriate DOI/manuals. * Wherever applicable ensure external SAR reports are properly prepared and filed with the applicable law enforcers as per local regulation requirements. * Keep proper records and registers for all AML and CTF investigations. * Respond promptly to any regulatory requests relating to AML and CTF. * Assist in management information (MI) reporting. * Follow and comply with AML/CTF/CDD/Sanctions policies and procedures where applicable to business as usual (BAU) activities.
People and Talent (Responsibilities related to people and talent matters) * Provide guidance and support to other team members. * Promote and embed a culture of openness, collaboration, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm. * Stimulate an environment where forward planning, prioritization, deadline management and efficient, effective streamlined workflows are the norm. * Collaborate with training teams to input into training curriculum to support closing of capability gaps.
Risk Management (Responsibilities Under Risk Management Framework - both execution and supervisory) * Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management. * Advise of risk/data observations that may optimise and tune relevant transaction monitoring detection scenarios, or name screening systems. * Align/support with the alignment of relevant systems and controls to industry best practice and close out any compliance gaps. * Establish and maintain watch lists used for customer and transaction screening/monitoring and various other due diligence and investigative purposes (local/regional internal and external). * Ensure that the relevant lists and database as used by the screening and monitoring systems are up to date. * Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks. * Make recommendations to relevant stakeholders on possible risk management responses to identified risks and/or findings/concerns from investigations.
Governance * Ensure the suitability and quality of case data maintained on the enterprise case management system. * Support all control checks undertaken by FCC under the Operational Risk Framework (ORF).
Regulatory & Business conduct (The below is mandatory standard wording, do not remove) * 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 the Europe FCC Controls 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 * Support the Regional Money Laundering Reporting Officers * Support, guidance and explanation to Business teams in terms of FCC investigations and decisions. * Assist / liaise with country FCC, Group FCC and i3 colleagues. * Assist project teams during process/technology enhancements/implementations. * Support internal/external audits and operational risk.
Other Responsibilities * Embed Here for good and Group's brand and values in Europe FCC Controls * Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Qualifications and Skills
Good knowledge of financial crime investigations and local regulations / legislations regarding AML/CTF and sanctions as well as the UK consent regime. Understanding of a correspondent banking business beneficial. CISI/ACAMS beneficial. Trade Finance beneficial.
TECHNICAL COMPETENCIES Target Proficiency Level: Please choose proficiency level based on definition in the Competency Framework (Entry, Core, Advanced or Expert) Compliance Policies and Standards Core Compliance Advisory Core Compliance Review and FCC Assurance N/A Surveillance (including Screening and Monitoring) Advanced Investigations Core Compliance Risk Assessment N/A Regulatory Liaison N/A Manage Change N/A Manage Projects N/A