• Negotiable
  • Hong Kong
  • Permanent, Full time
  • Standard Chartered Bank Hong Kong
  • 12 Oct 17

Team Lead, FCC, Heightened Monitoring

  • Location: Hong Kong
  • Salary: Negotiable
  • Job Type: Full time

Please view Job Description for details.

Supporting Heightened Monitoring team under HKFCC Control team

Key Roles and Responsibilities

* Processes
* Review alert and case investigation prepared by the HM reviewers and related to the Hong Kong BR and implementation of 2014 DFS Order.
* Liaison with business locally to obtain information relevant to the investigation.
* Attend training in connection with all matters related to implementation of 2014 DFS order locally.
* Update internal trackers which will facilitate preparation of MI and information to Senior Management.
* Co-operate on action plans relevant to 2014 DFS order FCC related issues.
* Highlight and escalate any risks identified.
* Ensure that local requirements which are implemented are adhered to.

Risk Management (Responsibilities Under Risk Management Framework - both execution and supervisory)
* Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management.
* Ensure that the relevant lists and database as used by the screening systems are up to date.
* Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks.
* Make recommendations on possible risk management responses to identified risks and/or findings of concerns from investigations.
* Assess risks arising from products / segments / geographies / customers / transactions.
* Highlight risks, quantify the potential impact and escalate where necessary.

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 SCBHK HM team by setting an example by achieving 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
* Identify, escalate, mitigate and resolve risk, conduct and compliance matters.
* HKMA, DFS

Key Stakeholders
* Provide necessary support to the Management

Other Responsibilities
* Follow Group's brand and values in SCBHK FCC,HM
* Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Knowledge Development and Information Management
* Ensure participation in appropriate FCC awareness & training.
* Read and adhere to Departmental Operation Instructions, Operating Manuals, Code of Conduct and any other relevant materials.
* Save and share documents in appropriate share points and folders.

Qualifications and Skills

COMPETENCIES:
LEADERSHIP COMPETENCIES
Leadership Level: Please choose the leadership level (e.g., Organisation Leader) after reviewing the Leadership Competency Framework
Spot Opportunities
Individual Contributor
Solve Problems
Individual Contributor
Take the Lead
Individual Contributor
Build Resilience
Individual Contributor
Collaborate
Individual Contributor
Communicate
Individual Contributor
Deliver Sustainably
Individual Contributor
Achieve Results
Individual Contributor
TECHNICAL COMPETENCIES
Target Proficiency Level: Please choose proficiency level based on definition in the Competency Framework (Entry, Core, Advanced or Expert)
Compliance Policies and Standards
Advanced
Compliance Advisory
Advanced
Compliance Review and FCC Assurance
Core
Surveillance (including Screening and Monitoring)
Advanced
Investigations
Advanced
Compliance Risk Assessment
Core
Regulatory Liaison
Advanced
Manage Change
Core
Manage Projects
Core