RESPONSIBILITIES

Strategy

• Implement the strategic operations direction and roadmap for Country FCSO, align with Business & CFCC Strategy, FCC Strategy, the T&I Strategy and investment appetite. 
• Implement FCSO strategy across country to streamline processes, enhance productivity, reduce risk, improve controls, leveraging technologies.
• Ensure the client experience is seamless based on efficient processing, timely resolution of client exceptions and is perceived as an enabler by the business to generate and retain client flows.
• Monitor the FCSO/Surveillance country processes to ensure appropriate and consistent implementation of FCSO programmes
• Ensure there is adequate support (people, process, tools, frameworks, systems) for necessary FCSO controls

Business

• Perform a role as FCSO Investigator within FCSO team.
• Perform duties such as Transaction Monitoring, Global Name Screening, List Management, Alert/Risk Event Investigation, Production Order management and Control, Metrics execution.
• Responsible in analysing alerts generated by transaction monitoring system as well as other non-automated cases with financial crime or money laundering concern and its follow up actions
• Responsible in analysing cases generated by name screening system and its follow up actions
• Ensure suspicious transactions are thoroughly investigated and escalated to FCC, an prepare draft Suspicious Activity Reports (SARs) to FCC for review/decision, and necessary reporting to SBV where required
• Ensure the suitability and quality of case data maintained on enterprise case management systems

• Propose control improvements, enhancements and simplifications where appropriate
• Participate in ad-hoc activities such as monitoring of system enhancement testing etc.
• Provide advice on AML matters when required and maintain sound working relationship with stakeholders and peers
• Coordinate with the relevant operations units to ensure that the relevant lists and database used in screening, transaction monitoring and investigation are up to date and relevant.

Processes

• Keep up to date of appropriate policies/processes/DOIs to address financial crime risks, aligning with relevant regulatory requirements.
• Work with relevant stakeholders on compliance with Group standards relating to AML/Sanctions/ABC
• Daily support handling of the Watchlists, including but not limited to; timely additions to the relevant watchlist, and watchlist reconciliation when and as needed as directed by Team Lead/Head FCSO.
• Day to day handling of legal orders / production orders including responding to law enforcement and conducting related investigations where appropriate 
• Day to day processing of Transaction Monitoring (TM) and Screening (NS/TS/PO) cases in line with AAA procedures and in a timely manner within agreed TAT’s whilst maintaining Quality Control/Quality Assurance results in line with Group and local expectations.
• Ensure timely initiation of any follow up actions to effectively process alerts in TM and NS/TS/PO with clear narratives.
• Assist Team Lead/Head FCSO to implement investigation and surveillance standards set by regulators and the Group FCC function (via processes defined by Group FCSO GPO’s), and Country FCC.
• Preparation for SAR information escalated through FCSO screening or transaction monitoring processes to Country FCC / CMLCO for their review and decision.
• Perform controls and metrics

People & Talent

• Ensure participation on appropriate FCSO awareness & training within country
• Take personal responsibility for embedding the highest standards of ethics, including regulatory and business conduct, across Standard Chartered Bank

Risk Management

• Ensure the suitability and quality of case data maintained on enterprise case management systems
• Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name Screening, AML Monitoring and Case Management 
• Apply Group and FCSO 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

Governance

• Support all control checks undertaken by FCSO under the Operational Risk Framework (ORF)
• Collate, analyse and interpret data in reports to senior management and relevant governance/risk committees

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

• Country Head, FCC / CFCC / RFO/CMLCO
• Country CFCC Advisory & Governance
• Country Heads of Business
• Country Banking Operations
• Country CDD Ops/CMO
• Country Product heads
• Regional Head FCSO, Asia 
• GBS FCSO
• Group List Management Team 
• Group FCC MI Team
• Regional and Country Internal Audit
• Regional and Country Ops Risk
• Peers in other Banks

Other Responsibilities

• Embed Here for good and Group’s brand and values in FCSO
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
• Support cross function within country FCSO and/or other tasks assigned by Team Lead/Line Manager.

Qualification

• Education     Degree
• Languages     Vietnamese and English

Role Specific Technical Competencies

• Compliance Risk Assessment
• Investigation (incl. Screening and Monitoring)
• Compliance Advisory 
• Regulatory Liaison
   

About Standard Chartered

We're an international bank, nimble enough to act, big enough for impact. For more than 170 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
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer

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 leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along with minimum global standards for annual and public holiday, which is combined to 30 days minimum.
• Flexible working options based around home and office locations, with flexible working patterns.
• Proactive wellbeing support through Unmind, a market-leading digital wellbeing platform, development courses for resilience and other human skills, global Employee Assistance Programme, sick leave, mental health first-aiders and all sorts of self-help toolkits
• A continuous learning culture to support your growth, with opportunities to reskill and upskill and access to physical, virtual and digital learning.
• Being part of an inclusive and values driven organisation, one that embraces and celebrates our unique diversity, across our teams, business functions and geographies - everyone feels respected and can realise their full potential.