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The Investigations Continuous Assurance Analyst supports the Financial Crime Compliance (FCC) program by ensuring adherence to all legal and regulatory requirements and all Group standards relating to Anti-Money Laundering (AML), International Sanctions, Terrorist Financing, Anti-Bribery and Corruption (ABC), and the Group Operational Risk Framework (ORF). The role is responsible for supporting the Continuous Assurance (CA) program in order to meet the expectations of regulators and compliance stakeholders by providing continuous testing of core first line processes relating to transaction monitoring and investigations.
Key Roles and Responsibilities
Role & Responsibilities
* Responsible for executing continuous testing of core FCC processes in order to provide assurance to risk control owners and regulators that the investigations control environment is operating at a satisfactory level of effectiveness. * Evaluate effectiveness of the AML program in mitigating SC's residual risk footprint through an assessment of first line FCC controls. CA review areas include, but are not limited to, process undertaken by FCC controls to address significant financial crime risk events (e.g., SAR's, production orders/subpoenas/warrants), major investigations, or significant regulatory/legal case reviews. * For controls assessed, determine whether deficiencies exist in risk event outcomes, application/design of controls, quality of personnel, and management of process. * In the event that deficiencies are identified in control design or if CA disagrees with specific outcomes stemming from CA reviews, i.e., transaction monitoring, AML investigations, lookback reviews and other FCC controls procceses, perform a root cause analysis with corrective actions recommended. * Ensure timely follow-up of corrective actions by control owners and in the event that internal or external reporting is necessary, ensure that all connected parties are identified and reported at the appropriate levels across all relevant jurisdictions. * Assist with ad-hoc reviews in line with CA sampling/review methodology. * Perform Operational Risk Control Sample Tests for in-country processes. * Proactively manage time and prioritize tasks to meet testing goals and regulatory requests. * Understand end user functionality of transaction monitoring / surveillance, payment and case management systems. * Identify, assess, monitor, control and mitigate risks to the firm. * Assist with the collaboration with Operational Risk counterparts to ensure residual risk ratings accurately reflect AML/Sanctions/ABC risks identified through Control Sample Testing (CSTs). * Assist CA Management and Operational Risk in mapping CSTs to control failure points. * Assist in identifying greatest AML risks facing FCC and root causes impacting control stability. * Awareness and understanding of the regulatory framework in which the firm operates, and the regulatory requirements and expectations relevant to the role. * 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. * Support the close interaction between 1st line stakeholders and CA. * Support the close interaction between Operational Risk and CA. * Support the close interaction between Financial Crimes Surveillance Unit (FCSU) Quality Assurance and CA. * Embed Here for good and Group's brand and values in FCC CA function globally. * Embed the Group's values and code of conduct to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees form part of the culture. * Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Qualifications and Skills
Skills & Qualifications
* Bachelor degree in Business, Finance, Economics, International Affairs or related field of study, from an accredited institution, or equivalent qualification. * Advanced degree will be viewed positively. * Minimum 3 - 5 years experience in Financial Crime Compliance within Financial Services, Banking or Regulatory environment. * CAMS certification preferred. * Experience with Mantas or equivalent transaction monitoring system, payment screening system or other systems used to review payment details. * Proven knowledge and understanding of AML regulatory obligations such as SAR and OFAC reporting, 314(a), 314(b), foreign bank certifications, etc, as well as knowledge of ABC.
How To Apply
You can search and view current opportunities across our organisation and apply immediately by visiting www.standardchartered.com and selecting Careers. To help speed up your application, please note the following:
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It usually takes 15 - 20 minutes to complete the application form; you can save your application at any time and return to complete it at your convenience.
Diversity and Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.
Equal Opportunity Employer
Standard Chartered is an equal opportunity employer. We have a meritocratic culture where each individual employee is valued and respected for who they are as a person and for what they bring to the organisation.