Associate Director, Fcc Scb Ag

vor 2 Monaten

Frankfurt am Main, Deutschland Standard Chartered Vollzeit

**Job***: Governance, Risk Management & Compliance

**Primary Location***: Europe & Americas-Germany-Frankfurt

**Schedule***: Full-time

**Employee Status***: Permanent

**Posting Date***: 20/Jul/2023, 6:20:46 AM

**Unposting Date***: 20/Jul/2023, 5:59:00 PM

**JOB SUMMARY**

The role focuses on Know Your Customer related responsibilities and also covers trade finance as a product specialist.

This includes in particular:

- KYC related advice and processes including tracking of the SCB AG client portfolio for compliance with regulatory requirements and expectations.
- Supporting the maintenance and development of CDD policies, standards and DOIs
- Advising on trade finance products, risks and CDD questions specific to trade finance products

**RESPONSIBILITIES**

**Business**
- Analyse comprehensive impact of financial crime related regulatory matters on the relevant business area and its operations.
- Support communication of key changes (to laws, rules, regulations) in region/Germany, in coordination with group communications in particular in respect of trade finance.
- Support resolution of competing requirements between regulations, for example between AML regulations and data privacy/bank secrecy or information security regulations.
- Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.
- Support the investigation and suspicious activity reporting process in line with regulatory requirements and SCB AG policies.

**Processes**
- Support provision of governance and oversight over the implementation of all FCC-related policies and procedures in Germany to ensure compliance with such policies and procedures.
- Manage and/or resolve alerts/cases/SARs when required to support the investigation team.
- Assist in preparation and provision of training
- Support completion of the local FCC Risk Assessment (GRA), Product Risk Assessment and Obligations register
- Provide advice to relevant stakeholders on compliance with Group standards and local regulations relating to CDD requirements and trade finance.
- Support outsourcing management for FCC related processes
- Support CDD related processes, preparation of high-risk client approvals, deferrals and other CDD related exceptions.
- Oversight of management information related to the client portfolio of SCB AG and the respective CDD status
- Performance of controls

**People & Talent***
- Promote and embed a culture of openness, trust and risk awareness, where ethical, legal, regulatory and policy compliant conduct is the norm.
- Stimulate an environment where forward planning, prioritization, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
- Provide guidance and support to other team members.
- Collaborate with training teams to input into training curriculum to support closing of capability gaps

**Risk Management**
- Understand technical aspects of systems relevant to Customer Due Diligence (CDD), Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management, ABC.
- 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 in Transaction surveillance cases.
- Analyse significant financial crime risk events (e.g. Suspicious Activity Reports (SAR), non-compliant transactions, production orders) to ensure that all connected parties, particularly cross-border are identified and reported at the appropriate levels internally as well as externally across all relevant jurisdictions.
- Identify financial crime risk indicators through various internal/external sources that impact SCB and its clients.
- Conduct a root cause analysis on the control/other failures to ensure lessons are learned across the bank.

**Governance***
- Provide skilled resources to support project/programme delivery.
- Manage and protect business as usual (BAU) capability during change programmes, as well as during the execution and delivery of the Remediation initiatives through project phase and into BAU.

**Regulatory & Business Conduct***
- Display exemplary conduct and live by the Group's and SCB AG'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 and SCB AG's Code of Conduct.
- Support the lead of the Germany FCC team 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.

**Key stakeholders**
- Head FCC Germany
- Regional FCC

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