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The Role Responsibilities 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.
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 processes/DOIs to address financial crime risks, aligning with relevant regulatory requirements. * Providing governance and oversight over the implementation of FCC-related policies and procedures in Business to ensure compliance with such policies and procedures. * Document and maintain all core documents, including policies/processes/DOIs.
People and Talent (Responsibilities related to people and talent matters) * Develop communications strategies and plans that deliver timely and relevant messages to the right stakeholders through appropriate activities and channels.
Risk Management (Responsibilities Under Risk Management Framework - both execution and supervisory) * Understand technical aspects of systems relevant to CDD, Client Risk Assessments, or, Name and Transaction Screening, AML Monitoring and Case Management. * Align/support with the alignment of relevant systems and controls to industry best practice and close out any compliance gaps. * 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. * 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. * Implement AML, Sanctions and ABC risks identification and assessment methodologies. * Support Country risk assessment. * Map risks, quantify the potential impact and escalate where necessary. * Provide intelligence inputs to support calibration of bank's Risk Methodologies (including aggregate client risk, product risk and country risk assessments).
Governance * Support all control checks undertaken by FCC under the Operational Risk Framework (ORF). * Co-ordinate/support the management of audits/exams. * 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.
Project/Change Management * Lead or influence significant programmes of work in support of the financial crime compliance objectives.
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 FCC Governance & Product Risk Framework 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 * Head FCC Products * Head FCC Retail and Private Banking * Head FCC Client Risk Framework * Regional Heads of L&C and FCC * Peers in other banks