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Associate Director, Integrated Intelligence and Investigations (i3), GCNA
Standard Chartered Bank
September 22, 2019
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
Implement the vision, strategy and direction for i3 GCNA, consistent with the vision and strategy for the High Risk Clients & Emerging Threats (HRCET) unit and in support of the Group FCC's strategic direction and growth aspirations.
Support relevant stakeholders to make decisions based on current and possible future policies, practices and trends.
Provide subject matter expertise on financial crime intelligence, drawing on law enforcement and other professional networks, professional qualifications and experience
Continuous monitoring of the internal and external environment through various sources, including the media, to identify financial crime risks which may potentially impact the Bank. Map and assess those risks, quantify the potential impact and escalate where necessary
Undertake complex research derived from multiple sources, both internal and external to SCB (to include business, operations, compliance, open source web searches, domestic and international regulatory bodies) to produce strategic and tactical intelligence products
Execute key deliverables designated by Group i3 and the HRCET unit
Work with key stakeholders to generate proactive projects in which large internal datasets (including client static data and transactions) are analysed to identify financial crime risk through patterns, trends and typologies
Support specialized intelligence assessments and analysis of clients, countries and products through examination of transactions, Production Orders, subpoenas, warrants, and other internal datasets
Draft STRs as required
Develop, keep up to date and recommend for approval, appropriate policies/processes/DOIs to address financial crime risks, aligning with relevant regulatory requirements, and such relevant Regional/Group documents
Provide advice to relevant stakeholders on compliance with Group standards relating to financial crime
Sustain and develop i3 GCNA's outreach capabilities, including establishing and maintaining contacts with law enforcement agencies, regulators, not-for-profit organizations, industry bodies and other financial institutions, in accordance with Group and Regional financial crime priorities,in order to assist the Bank to proactively mitigate financial crime risk, and to demonstrate the Bank is at the forefront in the fight against financial crime.
Participate and play a leading role in external industry forums, working groups and public-private-partnership events as a representative of the Bank in the financial crime space, and drive development thereof, as appropriate.
Participate in external discussion panels, present at conferences, prepare written articles for professional publications and otherwise raise the profile of the Bank at professional forums.
Attend Fraud and Money Laundering Task Force (FMLIT) Operations Group and Strategic Group meetings. Action cases from the Operations Group meetings.
Organise and host the SCB HK Financial Crime Intelligence Roundtable once every quarter.
People and Talent
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 in which forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm
Collaborate with training teams to provide input into training curriculum, and to support closing of capability gaps
Discuss staffing levels and workloads with Head, i3, GCNA, with regard to adequate resourcing and staffing by an appropriate number of competent staff, sufficiently independent to perform duties objectively, to support sustainable business growth and address financial crime risks.
Apply Group and FCC policies and processes, as appropriate
Make recommendations (and/or implement) to relevant stakeholders on possible risk management actions to identified risks and/or findings of concerns from investigations.
As necessary, work in partnership with business segments to ensure that financial crime risks identified from external sources and internal deep-dive client reviews are appropriately addressed and mitigated.
As required, assess risks arising from products / segments / geographies / customers / transactions.
Identify intelligence with a view to research, identification of red flags and typologies, and risk mitigation.
Identify current and emerging financial crime risk indicators through various internal/external sources.
Advise relevant stakeholders on outcomes of AML risk identification and assessment methodologies.
Ensure all intelligence investigations are properly concluded. Share best practices to foster a culture of continuous improvement.
Provide intelligence investigative expertise to support management of significant regulatory/legal cases.
Manage end-to-end financial crime client reviews initiated by external sources (regulators, law enforcement agencies, authorities or other external organisations), and internal surveillance.
Conduct a root cause analysis on the control/other failures, as required, to ensure lessons are learned across the bank.
Provide intelligence (to internal forums) on specific clients, client-types and emerging risk typologies.
Support the Head, i3, GCNA, in management oversight of the FCC region/country function.
Inform the Head, i3, GCNA, 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.
Propose control improvements, enhancements and simplifications, where appropriate.
Regulatory & Business Conduct
Display exemplary conduct and live by the Group's Valued Behaviours and Code of Conduct.
Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across the Bank. This includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct.
Take action 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.
Global Head, HRCET Unit
Global Head of i3, and the Group i3 team
Regional Head of FCC
Head, i3, GCNA
i3 GCNA team
Senior FCC Management in GCNA
Senior Legal and Compliance management in GCNA
Relevant business segments
Law enforcement and other government agencies, HKMA, HKAB
Embed 'Here for good', Group's brand, and values in i3 GCNA
Support efforts to position the Bank as an industry leader as seen by regulators and industry stakeholders
Manage law enforcement outreach and outreach to peer banking institutions, and other stakeholders
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures
Apply now to join the Bank for those with big career ambitions.
Internal Number: 6375885
About Standard Chartered Bank
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