Review fulfilment Manager

Job Description

*About Standard Chartered We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East. The Role Responsibilities KYC Remediation: -

• Review customer profiles and documentation for completeness
• Perform Customer Identification Procedures (CIP) according to applicable guidelines
• Identify beneficial shareholders and provide background screening
• Screens for sanctions and negative news
• Provide risk profiling and Enhanced Due Diligence (EDD) if necessary

Alert Reviews: -

• Classify based on severity and frequency, match basic customer profile
• Match past transaction history and SAR filings
• Investigate cases in detail and provide individual follow-ups if required

Ongoing PEP Screening: -

• Screening customers against consolidated PEP databases
• Match rules based on primary alerts information
• Conduct research on external databases
• Confirm true matches for compliance verification

Sanction Screening: -

• Perform data analytics and alert classifications
• Matching of basic profile information
• Conducting research on external databases
• Confirming transaction hold or release

Unwrapping Process: -

• Collect the company ROC report
• Prepare the company share holding pattern
• Arrange all the share holding company/individuals KYC document
• Find out the Ultimate Beneficiary Ownership.

Processes

• Drive continuous improvement of the operational efficiency and effectiveness of processes to increase the consistency of systems and processes.
• Support the framework for effective management of operational risks across the Business and compliance with applicable internal policies, and external laws and regulations at a global level.

• Support the execution of Business strategy in a safe and well-controlled manner and on an end-to-end basis incorporating infrastructure requirements and ensuring that they are fit-for-growth.
• Conduct regular and timely customer due diligence (CDD) reviews
• Ensure CDD profiles are error free for timely sign off
• Follow and comply with AML CDD policies and procedures where applicable
• Identify KYC issues, provide solution or escalate to line manager if necessary
• Ensure internal / external KYC requirements are adhered to AML CDD policies and procedures
• Timely handling of customer issues, complaints, and product enquiries in accordance with established procedures

People and Talent

• Embed the Group s values and culture
• Coach peers and more junior staff as appropriate
• Partner effectively with internal stakeholders to deliver effective client solutions

Risk Management

• Abide by appropriate frameworks to guarantee that business is carried out within the Group s risk appetite and relevant risks are appropriately managed in conjunction with line managers other stakeholders.
• Ensure compliance with the highest standards of regulatory conduct and compliance standards and practices as defined by internal and external requirements. This includes compliance with regulations and guidelines on Sanctions, Anti-Money Laundering (AML), and Environmental and Social Risk Management (ESRM).
• Abide by the Group s values and code of conduct and foster a robust culture to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees.
• Ensure that Risk Management matters that are brought to the job holder s attention are subject to direct remedial action and/or ensure adequate reporting to the relevant superiors and/or Risk Committees.

• Do what is right in order to avoid reputational risks and operational losses

Governance

• Ensure relevant systems and controls pertaining to the role remit are in compliance with Group and Business policies, procedures, standards and codes, including those governing all Risk types, Compliance, Operational Risk, Technology and Operations, Finance and Reputation
• Ensure adherence with the following Regulatory Compliance policies and processes (as is applicable):
  • Anti-Money Laundering (AML) and all applicable money laundering prevention procedures
  • Client Due Diligence & Related Periodic Reviews
  • Client Suitability Standards
  • Treating Customers Fairly
  • Approval & review of Credit Applications
  • Maintain Documentary standards
  • Data Confidentiality
  • Cross-Border Policy
  • Sanctions
  • Environmental and Social Risk Management (ESRM)
  • Anti-Bribery and Corruption (ABC)
• Embed the Group s values and code of conduct to ensure that adherence with the highest standards of ethics, and compliance with relevant policies, processes and regulations among employees form part of the culture
• Engage with all audit report findings and ensure feedback is acted upon

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 Business 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.

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 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.
• Exercise authorities delegated by the Board of Directors and act in accordance with Articles of Association

Key Stakeholders

• Colleagues in BB and CDD teams, Product, Risk, Compliance and other support Functions and Businesses

Business

• Standard Chartered Bank provides end-to-end Know Your Customer (KYC) remediation, including identification, verification, unwrapping shareholding structure and sourcing of documents and Politically Exposed Person (PEP) screening. Also review all existing KYC documentation and perform a gap analysis of prevailing regulations in that geography. We deliver operations support for ongoing KYC and support in surge requirements for remediation efforts.

KYC Remediation: -

• Review customer profiles and documentation for completeness
• Perform Customer Identification Procedures (CIP) according to applicable guidelines
• Identify beneficial shareholders and provide background screening
• Screens for sanctions and negative news
• Provide risk profiling and Enhanced Due Diligence (EDD) if necessary

Alert Reviews: -

• Classify based on severity and frequency, match basic customer profile
• Match past transaction history and SAR filings
• Investigate cases in detail and provide individual follow-ups if required

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Keyskills :
code of conductboard of directorsgap analysisaudit reportdue diligencedata analyticsrisk managementoperational riskcrime preventionbusiness strategyfinancial marketsregulatory compliance