Manager - FCSO Name Screening

Strategy*

Day to day processing of Name Screening (NS) cases in line with AAA procedures and in a timely manner within agreed TAT’s whilst maintaining Quality Control/Quality Assurance results in line with Group and local expectations.

Business*

• 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.


• Collaborate within the FCSO 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

Processes*

• Day to day processing of Name Screening (NS) cases in line with AAA procedures and in a timely manner within agreed TAT’s whilst maintaining Quality Control/Quality Assurance results in line with Group and local expectations.


• Support Country Head FCSO/Regional Head FCSO with any complex investigations as required.


• Ensure timely initiation of any follow up actions to effectively process cases in TS with clear narratives.


• Assist the Country Head FCSO to implement investigation and surveillance standards set by regulators and the Group FCC function (via processes defined by Group FCSO GPO’s), and Country FCC.


• Escalation of cases through FCSO screening processes to Country FCC / CMLCO.


• Share high profile cases with Regional Cluster Head of FCSO to develop typologies and other materials to improve controls.

People & Talent*

• Promote a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.


• Demonstrate exemplary integrity, ethics and values.


• Develop skills with continuous learning in the Financial Crime Surveillance Operations environment

Risk Management*

• Monitor Screening alert generation methodologies and Silent 8 effectiveness to ensure they are fit-for-purpose, providing feedback to Country Head FCSO where false positives or immediate emerging risks are identified.


• Securing credible audit / review outcome for the unit.


• Identify and highlight any compliance gaps in existing controls or relevant systems.


• Apply Group and FCC policies and processes (TM, NS, AML surveillance, client screening, risk assessment) to manage risks.


• As directed by the Country Head FCSO, manage interaction / communication / meetings with stakeholders and other departments as and when needed in order to mitigate risks.


• Gathering and processing risk data related to FCSO processes to meet the Group’s risk reporting requirements.


• Utilize existing data analytic tools, techniques and systems to optimize the quality of casework and ensure efficiency to include systems such as iCDD, eOPS, Accuity, Mantas, ECM etc

Governance*

• Propose control improvements, enhancements and simplifications where appropriate.


• Support all control checks undertaken by FCSO under the Operational Risk Framework (ORF).


• Collate, analyses and interpret data in reports.


• Analyze and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and support in remediation actions within the FCSO function.


• Be accountable for identification and escalation of potential risks and issues to Country and Regional Cluster Head of FCSO.


• Provide support to the country Head FCSO in engagement of Second Line of Defense for approval, guidance and challenge for FCSO processes

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.

• Lead the country to achieve the outcomes set out in the Bank’s Conduct Principles:

• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.