The Role Responsibilities
To ensure financial control policies are in place & being complied with, and provide guidance to others when necessary.
To conduct, audit and track effective reconciliation processes to ensure that the declarations are completed accurately and in timely manner.
To lead / participate in financial control systems related initiatives.
To undertake periodic Compliance self-assessment on key controls to assess the proper functioning and adequacy of existing controls.
To conduct ECU review& coordination and record management exercise.
To provide necessary FCP training courses to the target audience.
- ● 商業及管理學門 相關科系
The Role Responsibilities
*Ensure CDD information completed by the maker is current and valid, as per the required standard
*Client documents are complete and updated in banking system
*Assess adverse media searches carried out adequately by the Individual CDD team
*Quality of SOW and corroboration is adequate and carried out as required
*Review the PEP assessment to ensure compliance to Local and Group Standards
*Review account activity conducted by Individual CDD / RM (where required)
*Review completed Tax assessment for HNW/UHNW clients
*Follow-up on exception requests – proceed with or stop onboarding
People and Talent
*Lead through example and build the appropriate culture and values. Set appropriate tone and expectations from their team and work in collaboration with risk and control partners.
*Execution responsibility for identifying, assessing, monitoring, controlling and mitigating financial crime risk, sanctions risk and reputational risks to the Group. Also, an awareness and understanding of the main risks facing the Group and the role the individual plays in managing them.
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.
*Embed Here for good and Group’s brand and values
*Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Our Ideal Candidate
*A minimum of 3 years of banking, financial or regulatory industry experience;
*Working experience in Retail AML CDD / Compliance functions is preferable.
*Able to manage multiple tasks and work under pressure;
*Good communication, interpersonal and organization skills;
*Proficiency in both spoken and written English and Chinese.
1. 供應鏈審核 (熟悉ISO9001, RDS, GRS, RCS 管理系統優先考慮)
1. Supply Chain audit ; Having knowledge and understanding of management system is preferred. (ISO 9001, RDS, GRS, RCS)
a. You need to understand clients’requirements and contact all suppliers to conduct
a supply chain audit
b. During the audit, you need to take pictures of workflow and describe it in reports.
2. Other projects and other work assigned by Manager or
• Passionate about travel
• Effective human relations and strong communication skills.
• Minimal supervision necessary, self-starter
• Ability to handle high stress including high level of multi-tasking
• Ability to quickly solve problems
• Work alone or in small groups
• Ability to work until task is finished