Associate, FCC Name Screening
* Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.
* Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to FCC. Specifically the Group Screening Procedures
* Review the controls evidence and complete the risk input sheet. Questions, challenges, invetigates the evidence provided to ensure accuracy of the data and identify risk to the Group
* Continuously review the controls proposed and identify if changes are required to better manage risk within Name Screening and the Group
People and Talent
* Good communicator, able to reach out to peers and the leadership team to complete tasks and receive updates on open items, leveraging all communications tools at SCB
* Understand technical aspects of systems relevant to Name 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.
* Review the Change Request, Risk and issue and the team workbook and work with the other team members to ensure data is up to date and items on track for delivery or resolution
* Review the risks and issues identified and help identify risk to the Group or impact a risk/issue might have in screening overall.
* Review the Change Management Process, ensure BAU Change Requests are reviewed and approved in a timely manner, Change requests have been completed with all the required information and all the documentation is available in SharePoint when the Change Request is closed
* Leverage SharePoint and the Bridge to improve the current governance model
* Name Screening is a changing environment with several transformation projects ongoing. Understanding how these projects impact BAU and linking the changes to the existing BAU changes will be key for the management of the overall transformation ongoing in Name Screening
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.
* Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
* Track all regulators requests for Name Screening and the Screening team, ensure updates are provided in a timely manner
* Gather request for information data to respond to regulators, GIA and FCC Quality Assessment
* Screening Leadership Team
* FCC Controls
* Name Screening Team
* FCSU, FCC ITO, FCC MI
* GIA, Quality Assurance, Regulators Liaison
* Embed Here for good and Group's brand and values in Name Screening
* Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Qualifications and Skills
- Good educational background, ideally to degree or equivalent level.
- Career experience at any of the following within the relevant jurisdiction(s): financial institution, regulator, Big 4 Accountancy Firm or compliance consultancy practice
- Excellent written English with a proven track record of drafting processes, presentation in Power Point, using Excel for Pivot Tables
- SharePoint knowledge (administration would be advantage)
- Ability to consider matters from an end-to-end perspective
- Ability to work independently, within a team and with appropriate supervision, with a desire to deliver results. Self-motivated and self-reliant with genuine desire to get things done and to do it right, as well as the ability to provide practical and effective advice. Being able to accept challenge and change, listen to the other point of view and adapt your approach accordingly is essential.
- Knowledge of both local and global (specifically UK) rules and regulations, emerging themes and areas of increasing regulatory focus and attention - including, but not limited, to the regulatory conduct agenda would be considered an advantage
Leadership Level: Please choose the leadership level (e.g., Organisation Leader) after reviewing the Leadership Competency Framework
8. Achieve Results
Target Proficiency Level: Please choose proficiency level based on definition in the Competency Framework (Entry, Core, Advanced or Expert)
Surveillance (including Screening and Monitoring)