Associate Director, Investigations, Group i3 Associate Director, Investigations, Group i3 …

Standard Chartered Bank
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Standard Chartered Bank
in London, England, United Kingdom
Permanent, Full time
Be the first to apply
Standard Chartered Bank
Associate Director, Investigations, Group i3
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.

This role is an opportunity to develop and grow Group i3 Investigations within the Higher Risk Clients Unit (HRCU). The role will involve proactive and reactive elements to identify, assess and action financial crime risk exposures. The role holder will be required to lead investigations, deliver written i3 reports and contribute to briefings to relevant stakeholders. This will include the analysis of open source information, recording of investigations, interviewing colleagues, liaison with internal/external stakeholders and analysis of internal data.

· Contribute to and implement strategies for the investigation of financial crime.
· Contribute to and implement strategies for the collection of intelligence relating to financial crime.

· Analyse comprehensive impact of financial crime related regulatory matters on the relevants business area and its operations.
· Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.

• Assist to develop and keep up to date, appropriate policies/processes/DOIs to address financial crime risks, aligning with relevant regulatory requirements.
• Assist in providing governance and oversight over the implementation of FCC-related policies and procedures in i3 to ensure compliance with such policies and procedures.
• Provide advice to relevant stakeholders on compliance with Group standards relating to AML.
• Lead investigations and other financial crime related alerts and cases referred to i3.

People and Talent:
· Support a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
· Stimulate an environment where 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 input to training curriculum to support knowledge sharing.
· Collaborate closely with regional i3 and Americas FCIU teams, as well as other stakeholders such as Fraud to support holistic risk management
· Execute actions, where assigned, from reviews and analyses performed

Risk Management:
• Ensure the suitability and quality of case data maintained on enterprise case management systems.
• Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management.
• Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks.
• Make recommendations (and/or implement) to relevant stakeholders on possible risk management responses to identified risks and/or findings of concerns from investigations.
• Assess risks arising from products / segments / geographies / customers / transactions.
• Inform senior management and relevant regulators 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.
• Analyse significant financial crime risk events (e.g. SAR's, 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 studies and risk mitigation plans.
• Identify financial crime risk indicators through various internal/external sources that impact SCB and its clients.
• Advise relevant stakeholders on outcomes of AML risks identification and assessment methodologies.
• Deliver/ support delivery of annual Global AML, ABC and Sanctions Risk Assessments where required.
• Partner with legal counsel for advice on technical matters.
• Ensure that significant investigations are concluded internally and externally where relevant (including cross-border).
• Collate, assess risk and manage high risk production orders/subpoenas/warrants.
• Provide investigative expertise to support management of Significant Regulatory/Legal cases.
• Manage end-to-end financial crime client reviews initiated by external sources (regulators, agencies, authorities or other external organisation), and internal surveillance.
• Conduct a root cause analysis on the control/other failures to ensure lessons are learned across the bank.
• Provide intelligence (to internal forums) 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).

• Attend and contribute to relevant team and leadership meetings.
• Propose control improvements, enhancements and simplifications where appropriate
• Support senior oversight of FCC region/country/function.
• Undertake tracking and remediation of surveillance and investigations related regulatory findings.
• 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.

Other Responsibilities:
· Embed Here for good and Group's brand and values in Group i3
· Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

· Exposure to business investigations, law enforcement, regulatory or professional services. Having similar experience and/or applicability of experience to Financial Crime risk and investigations is an advantage. Remuneration will be commensurate with the level or applicability of experience as well as seniority
· Good investigative decision making, creating Terms of Reference for investigations, recording investigations, identifying and completing lines of enquiry effectively
· Good knowledge of IT systems and Bank IT infrastructure would be an added advantage
· Strong interpersonal skills. An ability to get along well with others and to build networks and relationships
· Excellent communication and business writing skills
· A proactive attitude to support continued effectiveness and efficiency gains

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 .