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The Director, FCC, Trade, ASA supports the Head FCC CIB BARM ASA with overseeing all Trade-based financial crime compliance matters impacting the region, including, and provides thought leadership regarding the identification and mitigation of financial crime risk affecting the Bank's Trade business specifically in the ASA region.
The role holder is responsible for setting, overseeing, and implementing the strategy for the Trade FCC Programme in the ASA Region Countries in line with the 10-point FCC Frameworks and Group FCC-Trade Strategy.
The role holder also provides product and regional specific financial crime risk support to the Trade business and Trade Operations and provides his or her significant Trade experience to Regional and Local FCCs in his or her region where needed.
The role holder also actively participates in regular global discussions and calls with other FCC Trade experts around Trade Based Money Laundering (TBML) and other trade-based financial crime, both within the Bank and with other Financial institutions within his or her region. Overall Responsibilities
Provide advice to internal FCC functional units (group, region, and country), and the Trade business, which includes Trade Operations, regarding financial crime risks and controls
Review new Trade products and initiatives when rolled out in his or her region and recommends solutions to address any risks.
Assists, where needed, countries in his or her region with reviews of existing Trade products against the FCC Global Product Risk Assessment
Provide guidance to relevant jurisdictions in preparation for a Trade financial crime risk regulatory inspection, where necessary.
Assists in the maintenance and further development of the Trade AML Operating Model, making sure it remains effective.
Assists with the review of existing financial crime risk controls in Trade to determine their adequacy
Evaluate proposals for new/revisions to existing controls to incorporate changes to industry best practice and regulatory expectations
Prepares and maintains a strategic review of the specific Trade financial crime risks in the countries in his or her region in order to support the Regional Head FCC.
Oversees and reviews country financial crime risk controls in Trade to determine their adequacy on an ongoing basis.
Proposes and advises new or revisions to existing controls to incorporate changes to industry best practice and regulatory expectations relevant to his or her region.
Analyse comprehensive impact of financial crime related regulatory matters on Trade and its operations.
Ensure that key changes to laws, rules, regulations relevant to Trade in relation to AML/CTF and other financial crime relevant to the role are communicated and cascaded, in coordination with Regional or Country FCC.
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.
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.
Prepare and cascade lessons learned from audit findings, FCC assurance activities and specific investigations.
Propose and implement improvements, enhancements and simplifications where appropriate.
Implement quality assurance standards and workflows for the FCC Assurance function.
Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Assurance framework.
Define metrics and/or key risk indicators (KRI) especially for AML, Sanctions and ABC.
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.
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.
Co-lead FCC Trade to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes or 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.
Support relevant stakeholders to respond to regulatory questions.
Qualifications / Experience Required
10+ years working experience
5+ years experience directly supporting the Trade Finance business (e.g. Trade Finance Operations)
2+ years experience with Financial Crime Compliance