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Senior Specialist, RFI

4.00 to 8.00 Years   Mumbai City   25 Oct, 2022
Standard Chartered Bank Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaGeneral / Other Software
EmploymentTypeFull-time

Job Description

    • Review and validate requests for client information (RFIs) received from the Transaction Monitoring / Screening Functions to process Risk Events.
    • Liaise with Relationship Managers, FCC Teams and other internal teams (CDD, etc.) in order to obtain client information.
    • Review and adhere to the follow up protocol to ensure timely responses are obtained.
    • Review and validate responses received to determine ability to process the Risk Events.
    • Liaise with the Functions within the FCSU to identify inherent risks and inefficiencies and work with relevant stakeholders in order to mitigate the same.
    Risk Management
    • 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 across all relevant jurisdictions.
    • Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks.
    • Identify concerns pertaining to quality of RFIs based on case reviews and feedback obtained from the Business / FCC and liaise with the Team Manager and other members of the Team to resolve such concerns through best practice sharing, fail reviews, etc.
    Governance
    • 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.
    • Ensure proactive escalation of potential risks to the management team.
    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.
    Key Stakeholders
    • Relationship Managers (Business)
    • FCC Controls representatives in group and country
    • Internal Client Due Diligence Teams (CDD)
    • FCSO Functions
    Other Responsibilities
    • Embed Here for Good and Group s brand and values in FCSU.
    • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
    Our Ideal Candidate 4 to 8 years of relevant work experience in the following areas:
    • Excellent written and verbal communication skills with the ability to articulate effectively.
    • Banking operations experience (Client Due Diligence, payments, trade, markets or other) and client interaction experience.
    • AML and terrorist financing surveillance skills.
    • Analysis skills: Ability to analyse data trends and irregular transactions, independently assimilate, analyse and evaluate information from various data sources to determine a course of action (e.g., case closure or RFI), and record and communicate this decision clearly and concisely to Monitoring team and RM s respectively, working knowledge of Internet and MS Office.
    • Banking knowledge in terms of customers, products and transactions with expertise in at least one customer segment (retail, corporate, private banking, correspondent banking).
    ,

Keyskills :
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