FC Risk and Control Specialist
Standard Chartered Bank
Ho Chi Minh, Vietnam, Asia
6 ngày trước

FC Risk and Control Specialist-(2200017435)

Primary Location

Asia-Vietnam-Ho Chi Minh

Posting Date

05 / Jul / 2022, 4 : 32 : 10 AM

Unposting Date

Ongoing Role Responsibilities

The role of the FC Risk and Control Specialist is to support the Country Head of FC in the execution of their accountabilities where scale / complexity of business and / or work volume indicate need for supplementary resourcing.


  • Provide support and input to Group / Region / Country / Client Business operating model design of relevant FCC and business processes.
  • Contribute to setting and implementing the vision, strategy, direction and leadership for SCB Vietnam, consistent with the vision and strategy for FC and in support of the Group’s strategic direction and growth aspirations.
  • Business

  • Support relevant stakeholders to make decisions based on current and possible future policies, applicable local regulatory requirements, practices, and trends.
  • Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to FC, providing timely, responsive and quality FC regulatory compliance guidance.
  • Leading the applications of the said requirements in which they are applicable to multi-segments.

  • Support resolution of competing requirements between regulations, for example between AML regulations and data privacy / bank secrecy or information security regulations.
  • Ensure that risk frameworks and associated standards are effectively communicated and understood by process owners.
  • Processes

  • Working in close partnership with CFCC Business Advisory Teams of Vietnam Provide oversight over the implementation of FC-related policies and procedures in country to ensure compliance with such policies and procedures.
  • Provide advice (typically via CFCC Advisory) to relevant stakeholders on compliance with Group standards relating FCC risks.

  • Support Country FCC Head with all second line risk management and oversight activities; including but not limited to investigation and filing Suspicious Activity Reports, risk assessments and reporting, quality assurance and testing.
  • Oversee the assessment of all AML risks identified in Business and Function (including FC-owned) processes. Providing challenge where activities are outside risk tolerance / appetite, escalating' as necessary until appropriate oversight and ownership is achieved including actions and plans to address any remedial action needed to come back within risk tolerance / appetite.
  • Ensure that where risks are outside appetite the root cause is determined and addressed. Act under delegated authority to make client specific risk decisions.

    Act as the principal point of contact for Country CFCC Advisory and responsible to join up the FC-function so that effective outcomes are realized in first line processes requiring fewer touch points between FC and the first line.

    As a Rubik country, equip and maintain Country FCC Head and Head CFCC Advisory and Governance with sufficient knowledge and capability to interpret MAS Singapore related FCC regulatory requirements.

    Equip Country CFCC Advisory Heads and Country CFCC Governance Head with the necessary FC skills and knowledge, and escalation points within FC, to discharge their delegated authority for FC risks, for Rubik countries, equip and maintain Country CFCC Advisory Heads with sufficient knowledge and capability to interpret Vietnam related FCC regulatory requirements.

    Engage with Country CFCC Advisory Heads and Country CFCC Governance Head to ensure that FC risks are effectively managed in the Businesses in line with the risk frameworks.

    Provide specialist expertise to Country CFCC Advisory by drawing on resources under direct control and leveraging the wider FC function.

    People and 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, prioritisation, deadline management and streamlined workflows and collaborative, inclusive yet effective and efficient work practices are the norm.
  • Provide input at business, function, country and individual level as appropriate, on compliance matters which should have a bearing on remuneration pools or individual bonuses (for senior staff).
  • Risk Management

  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management.
  • Provide advice (typically via CFCC Advisory) on the application of risk management frameworks (eg. ORF, GRA).
  • Apply Group and FC policies and processes to manage risks.
  • Make recommendations (and / or implement) to relevant stakeholders (typically via CFCC Advisory) on possible risk management responses to identified risks and / or findings of concerns from investigations.
  • Assess risks arising from products / segments / geographies / customers / transactions.
  • Inform senior management and relevant regulators of serious regulatory breaches (or where risk tolerances have been breached) and ensure that actions are taken quickly to remediate and / or activities are ceased.
  • Advise relevant stakeholders on outcomes of FC risks identification and assessment methodologies.
  • In collaboration with Country Head FCC and Head CFCC Advisory and Governance to review and perform an analysis of the client base to identify and manage high risk clients, or to conduct specific country reviews.
  • Governance

  • Support senior oversight of FC in country.
  • In the event of serious regulatory breaches, or where risk tolerances have been breached, ensure senior management and relevant regulators are informed and that actions are taken quickly to remediate and / or activities are ceased.
  • Regulatory and 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 Vietnam FCC team to achieve the outcomes set out in the Bank’s Conduct PrinciplesClick here to enter text.
  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, financial crime, conduct and compliance matters.
  • Key Stakeholders

  • Country Head of Conduct, Financial Crime and Compliance
  • Head CFCC Advisory and Governance / CFCC (sub) Teams
  • Regional CFCC Team (ABC, Sanctions, Fraud) / Regional Risk Specialist
  • Business Segments management and team leads
  • Country Business Operational Risk
  • Country Business Operations and teams
  • Regional and Country Financial Crime Surveillance Operations (FCSO)
  • Vietnam Regulators including Vietnam BFIU
  • Vietnam banking associations (BWG, VNBA)
  • Peers in other banks / industry
  • Other Responsibilities

  • Perform other responsibilities assigned by the Country Head FCC; including but not limited to attendance at country risk and governance committees internally within the bank, and attendance externally at business association meetings.
  • Deliver advice, guidance and training to the various business teams across the bank as required.
  • Provide back up support to Thailand FCC colleagues, as well as the Country Head FCC and CMLCO as required.
  • About Standard Chartered We're an international bank, nimble enough to act, big enough for impact. For more than 160 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
  • Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term
  • 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, parental / maternity (20 weeks), sabbatical (12 weeks maximum) and volunteering leave (3 days), along with 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.
  • Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to.

    If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process. Visit our careers website

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