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Specialist I3

5.00 to 7.00 Years   Mumbai City   14 Jun, 2021
Standard Chartered Bank Ltd
Job LocationMumbai City
EducationNot Mentioned
SalaryNot Disclosed
IndustryBanking / Financial Services
Functional AreaFinance / Accounts / Tax
EmploymentTypeFull-time

Job Description

  • Assist in preparing Enhanced Background Screening reports for new prospects/existing clients as per the business or Group i3 requirement using subscribed databases and through extensive public domain search covering all FCC / AML risks.
  • Assist in special Reputational Risk projects that are conducted to ascertain if a report or media sweep has any reputational risk to the bank. Analysis includes search for adverse media sweep, checking for existing relationship and conducting transaction / look back analysis of the account in case of existing banking relationship. Liaise with the Transaction Surveillance Unit (TSU) and Customer Screening Unit (CSU) during data request. Assist in the summary of the findings that are to be forwarded to the relevant compliance / business / FCC unit for further action.
  • Assist in Sanctions review - to perform extensive search to ascertain if a list of entities/individuals has links to sanctioned countries.
  • Interpretation & Application of AML Laws and Regulations.
Risk 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.
  • Identify intelligence for typology studies and risk mitigation plans.
  • Identify financial crime risk indicators through various internal systems and advise relevant stakeholders on outcomes of AML, Sanctions and ABC risks identification and assessment methodologies.
  • Provide intelligence (to internal forums) on specific clients, client-types and emerging risk typologies.
Governance
  • Ensure timely reporting and escalation of significant issues to management.
  • Establish and develop effective working relationships within the unit.
  • Propose control improvements, enhancements and simplifications where appropriate
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 unit 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.
General Responsibilities
  • Ensure timely reporting and escalation of significant issues to management.
  • Establish and develop effective working relationships within the unit, Group i3 / Regional i3, and other personnel of business units e.g. TSU and CSU.
  • Coordinate IT initiatives and managing database and systems used by the unit to ensure operational issues are promptly addressed.
Our Ideal Candidate
  • Any degree from a reputed university
  • Any AML certification like CAMS / ICA (preferable)
  • Minimum four or five years of relevant experience
  • Strong written and verbal communication skills.
  • Good analytical skills.
Key Measurables:
  • Timely reporting and escalation of significant issues.
  • Cross team collaboration and leadership skills effective supervision of the unit.
  • Compliance with Anti Money Laundering Policies and Procedures.
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Keyskills :
anti money launderingenvironmental impact assessmentbusiness unitsrisk managementrisk mitigationcrime preventionleadership skills

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