CAIA's Career Center is an easy-to-use, comprehensive resource connecting job seekers with employers in the growing AI field. Use your knowledge and credibility to advance your career or build a talented team for your organization. Opportunities targeted to CAIA Charterholders are prioritized.
In order to search for jobs specifically for CAIA Charterholders or those pursuing the CAIA Charter please enter “CAIA” in the search panel.
This will enable you to search for CAIA specific roles globally.
Associate , Integrated Intelligence and Investigations (i3)
Standard Chartered Bank
February 4, 2020
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
This role is located in the FCC team based in Standard Chartered Tower, Kwun Tong, Hong Kong. The purpose of the role is to perform i3 -related responsibilities for GCNA, specifically in connection with major case investigation (Group-led investigations). The role is under the High Risk Clients & Emerging Threats (HRCET) Unit.
The role also has a focus on identification of risk to the Bank through researching and analysing information from internal and external sources, and conducting in-depth projects and intelligence-led investigations.
Key deliverables include detailed investigation reports, a PP deck or other i3 product (e.g. Intelligence Report), enhanced two-way communication concerning financial crime risk with stakeholders, identification and receipt of information (including data), and its summary, analysis, and informing management of key findings and recommendations. The responsibilities include, to:
Conduct investigation into major cases directed by Group i3.
Investigation - In accordance with Group policies, procedures, manuals and other guidance, to conduct end-to-end reviews primarily initiated by Group i3, and also through external sources and internal intelligence:
Retrieval of client data from Bank systems;
Gathering, review and analysis of client data (including transactions) to identify suspicious activity and unusual transaction patterns, particularly in relation to high-risk clients;
Review of relevant information from other sources (including open media research);
Communications with internal stakeholders (including enquiry with Relationship Managers); and
Making recommendations and preparing reports (including STR filing).
Due Diligence - use internal and external systems to conduct background inquiries
Name Checks - conduct Hong Kong internal system checks (including HOGAN, SCI, BOWB/eCDD+, ML Register, Directors Database, Detica, CuPID) , and adverse media checks (e.g. Arachnys)
Liaison - internal and cross-border liaison (including with other teams) to obtain data/answer queries
Engagement - engage in and foster liaison with internal stakeholders including FCC team members and business management
Analysis - assist in MIS analysis and manipulation to identify trends
Drafting of reports and presentations
Uploading of information into the i3 Case Manager or ECM.
Engage in internal and external outreach to gain information concerning current or emerging financial crime risk
Assist with other projects and research conducted by the i3 Team at Group and Regional level as directed by the line manager.
Support the HRCET Unit , Regional and Country i3 strategy (e.g. identify and focus on key risks, conduct investigation and research initiated at Group, Region or Country level).
Support relevant stakeholders to make decisions based on trends connected to financial crime risk, and Bank policies, practices, and
Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, and best practices and policies related to FCC.
Assist to provide governance and oversight over the implementation of FCC-related policies and procedures in Hong Kong to ensure compliance with such policies and procedures.
Manage and/or resolve Alerts/Cases/STRs, and ensure appropriate actions are taken with regard to Retail business clients and Business Restriction requirements.
Provide investigative expertise to support management of significant regulatory/legal cases.
During the course of investigations and, as appropriate, conduct a root cause analysis of the control/other failures to ensure lessons are learned across the bank.
Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks.
Understand technical aspects, and operate systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management.
Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identify risks and/or findings of concerns from investigations.
As required, assess risks arising from products / segments / geographies / customers / transactions.
Analyse significant financial crime risk events (e.g. STRs, non-compliant transactions, Production Orders) to ensure that all connected parties, particularly cross-border, are identified and reported at the appropriate levels internally as well as externally across all relevant jurisdictions.
Identify intelligence for typology reports and risk mitigation plans.
Identify financial crime risk indicators through internal/external sources that impact SCB and its clients.
Provide intelligence on specific clients, client-types and emerging risk typologies.
Provide intelligence inputs to support calibration of bank's Risk Methodologies (including aggregate client risk, product risk and country risk assessments), as required.
Inform Region and Country senior i3 /FCC management of serious regulatory breaches (or where risk tolerances have been breached) and recommend actions that should be taken quickly to remediate and/or cease the activities.
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 the Bank (this includes understanding and ensuring compliance with, in letter and spirit, all applicable laws, regulations, guidelines and the Group Code of Conduct).
Work to achieve the outcomes set out in the Bank's Conduct Principles: Fair Outcomes for Clients Effectively, and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Global Head HRCU, the GCNA FCC Head, GCNA i3 Team, Group FCC i3, i3 in other regions, the GCNA Business, the Hong Kong MLRO, the GCNA Region and countries, Business L&C including Segment FCC, CDD teams; RMs; and Systems Teams in Chennai.
Embed Here for good and the Group's brand and values in i3 GCNA.
Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Familiar with MS Word, MS Excel, MS Access skills - comfortable in managing data, data entry, data extraction, presentation skills
Language skills - strong written and spoken English (Cantonese and Mandarin a benefit)
Apply now to join the Bank for those with big career ambitions.
To view information on our benefits including our flexible working please visit our career pages .