Spl'st, Fcc Investigations
1 month ago
**Job***: Governance, Risk Management & Compliance
**Primary Location***: Asia-India-Mumbai
**Schedule***: Full-time
**Employee Status***: Permanent
**Posting Date***: 26/Jun/2023, 2:45:58 AM
**Unposting Date***: Ongoing
**The Role Responsibilities**
**Strategy**
- Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the respective team for necessary FCC controls.
**Processes**
- Perform quality control process for transaction monitoring and name screening alerts as stated in the DOI’s and by employing a risk based approach to address financial crime / money laundering risks.
- Assist in publishing quality control results and participate / lead discussions with the investigative teams to highlighted identified exceptions and thematic trends, if any.
- Adhere to expected deadlines as stated in the DOI’s and recommend appropriate process / DOI changes.
**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 where forward planning, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
**Risk Management**
- Inform senior management 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.
- QC outcome including supervisory checks to be performed / shared with OR testing team for performance of CST / KCI.
**Governance**
- Propose process improvements, enhancements and simplifications where appropriate.
- Be accountable for identification and escalation of potential risks and issues to senior management through appropriate governance channels and the Quality Control Outcome framework.
- In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management are informed and that actions are taken quickly to remediate and / or activities are ceased.
**Regulatory and 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 to achieve the outcomes set out in the Bank’s Conduct Principles: [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment].
- Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
- Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association.
**Key Stakeholders**
- FCC Case Investigation Team within the country
- Internal and External reviewers
**Other Responsibilities**
- Embed Here for good and Group’s brand and values in FCC Controls.
- Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
- CAMS, CAME, certifications preferred
**Role Specific Technical Competencies**
- AML knowledge
- Communication skills
**About Standard Chartered**
We're an international bank, nimble enough to act, big enough for impact. For more than 160 years, we've worked to make a positive difference for our clients, communities, and each other. We question the status quo, love a challenge and enjoy finding new opportunities to grow and do better than before. If you're looking for a career with purpose and you want to work for a bank making a difference, we want to hear from you. You can count on us to celebrate your unique talents. And we can't wait to see the talents you can bring us.
Our purpose, to _drive commerce and prosperity through our unique diversity_, together with our brand promise, to be _here for good_ are achieved by how we each live our _valued behaviours_. When you work with us, you'll see how we value difference and advocate inclusion. Together we:
- **Do the right thing** and are assertive, challenge one another, and live with integrity, while putting the client at the heart of what we do
- **Never settle,** continuously striving to improve and innovate, keeping things simple and learning from doing well, and not so well
- **Be better together,** we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
**In line with our Fair Pay Charter,** we offer a competitive salary and benefits to support your mental, physical, financial and social wellbeing.
- **Core bank funding for retirement savings, medical and life insurance,** with flexible and voluntary benefits available in some locations
- **Time-off** including annual, parental / maternity (20 weeks), sa
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