CDD Risk Manager - Americas CDD Risk Manager - Americas …

Standard Chartered Bank
à New York, NY, États-Unis
CDI, Plein-temps
Dernière candidature, 10 août 20
Competitive
Standard Chartered Bank
à New York, NY, États-Unis
CDI, Plein-temps
Dernière candidature, 10 août 20
Competitive
CDD Risk Manager - Americas
About Standard Chartered
We are a leading international bank focused on helping people and companies prosper across Asia, Africa and the Middle East.

To us, good performance is about much more than turning a profit. It's about showing how you embody our valued behaviours - do the right thing, better together and never settle - as well as our brand promise, Here for good.

We're committed to promoting equality in the workplace and creating an inclusive and flexible culture - one where everyone can realise their full potential and make a positive contribution to our organisation. This in turn helps us to provide better support to our broad client base.


The Role Responsibilities

Strategy
  • Drive the Global Client Lifecycle & CDD model to build synergy between the countries and regions, work closely with CDD Risk Managers from other regions to share best practices and ensure uniform approach towards implementation of Global CDD Model and adherence to DOIs
Business
  • Drive the Global Client Lifecycle & CDD model to build synergy between the countries and regions, work closely with CDD Risk Managers from other regions to share best practices and ensure uniform approach towards implementation of Global CDD Model and adherence to DOIs;
  • Act as the "go to" person in CCIB for the Americas for advice on policy, process, system and procedures to enable creation of a true "Centre of Excellence" for the CDD model between the hub and the spokes from an end-to-end process perspective;
  • Maintain continuous liaison with Regional FCC & central CCIB/FCC teams for guidance on complex policy/risk issues and active feedback loop for policy gaps and revisions required;
  • Engage with audit or monitors on questions or issues raised in relation to the CDD process;
  • Monitor the end to end process including: long overdue cases, manual trigger reviews, sanctions submission, paper case rectification, CST/QIA rectification, and report to the relevant governance committees/groups as appropriate;
  • Play an expert role as an advisor/coach to RMs & CDD Execution Teams to ensure ongoing quality assurance of the CDDs in the region;
  • Evaluate and approve/support requests for dispensations, paper records, offline deferrals, manual signature update cases;
  • Advise on any training gaps in the region that require rectification or proactive actions;
  • Seek and escalate front line feedback on market practices and peer bank policy/procedures;
  • Work and/or lead on global and regional projects as prioritized by the region/group;
  • Act as CDD spokesperson for the Region (representation at BORC, Regional Risk Forum, and other committees);
  • Monitor and execute as appropriate timely completion of ORF checks by CCIB Teams, Hub & Country CETs, ensure escalation of exceptions noted if any, through appropriate forum (BORC/CORC) and to Country/Regional Heads;
  • Assist Country Teams on responses to CDD related queries from ongoing audits, if any and involve the CDD Teams on queries involving process/system changes, for effective closure;
  • Monitor access to eCDD+ system while according approval for the same through RMS tool, strictly on role-based requirements;
  • Contribute as a key stakeholder into the regular Service Review Meetings (SRM) in country/region;
  • Monitor remediation of deficiencies (provided by central team) in cases identified through the CST QIA process.
  • Act as an interface for CDD Execution Teams to RMs in the region to ensure discipline and quality in CDD execution;
  • Liaise with the hub to ensure that consistent standards are delivered by the hub for the Americas;
  • Assist PSS team with prioritization of System Issues through "ticket escalation";
  • Drive reduction in overdue rates for all countries in the region for all CDDs & child cases;
  • Monitor rework rates to ensure they remain within defined thresholds, suggesting and taking action to rectify as appropriate;
  • Monitor tracking (to be provided by central teams) training for relevant team members, in particular training that is required/mandatory (e.g. regulatory). Escalate to appropriate forum (e.g. CORC) and/or individuals (e.g. CCIB head) as appropriate for gaps in training;
  • Conduct regular in-house exercises to identify specific management / process issues and recommend solutions, make the case for change with stakeholders and assist with implementation as required;
  • Actively assist countries with conceptualizing, planning and executing remediation's in line with group priorities;
Processes
  • Global Client Lifecycle & CDD
People and Talent
  • Good presentation, time management, negotiation and influencing skills
  • Proven ability to build relationships with FCC & stakeholders in the Business and Operations by communicating, influencing and negotiating effectively
Risk Management
  • Act as the Country Process Owner for the country in which the risk manager resides, monitor and agree the residual risk rating for the country;
  • Provide approval & oversight on client specific exceptions raised against CDD requirements in CIB Tools evaluating the risk of the alternative measure provided;
  • Act as an escalation point for FCC on risk issues identified through second line assurance or advisory processes and thematic feedback on CDD quality in the country / region;
  • Maintain oversight on quality & timeliness of 'Service Review Meetings' (SRM) to be held every month between COBAM Teams & Hub or Country CETs;
  • Monitor tracking (to be provided by central teams) of dispensations, triggers, transaction restrictions, paper records, deferrals, et al and escalate as required to ensure timely completion.
Governance
  • Monitor and execute as appropriate timely completion of ORF checks by CCIB Teams, Hub & Country CETs, ensure escalation of exceptions noted if any, through appropriate forum (BORC/CORC) and to Country/Regional Heads;
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 [country / business unit / function/XXX [team] to achieve the outcomes set out in the Bank's Conduct Principles : [Fair Outcomes for Clients; Effective Financial Markets; Financial Crime Compliance; The Right Environment.] *
  • Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.
Key Stakeholders
  • CCIB Segment/Product Heads & COO teams
  • IMO Heads
  • NFRC members
  • CET Heads
  • FCC CCIB Global / Regional FCC CDD Controls
  • Operational Risk, (BORMs)
  • GBO CDD Hubs
  • Internal Audit
  • Regulators (where applicable)


Our Ideal Candidate
  • Masters or Bachelors degree
  • Subject matter expert & thought leadership in KYC/CDD and related operations
  • Knowledge of the local/regional regulatory environment and the ongoing developments
  • Specialist knowledge of industry / consulting practices
  • Process and operational expertise with a keen sense of commercial awareness needed to develop appropriate solutions. Proven experience of developing, interpreting & applying AML policy in the context of a Client/Enhanced Due Diligence process
  • Good knowledge of Wholesale Banking products
  • Project Management skills to undertake and supervise/monitor specific projects Proactive and positive with the ability to make good/sound decisions and use independent judgement
  • Thorough understanding of the legal structures of various client entity types including financial institutions, corporate organisations, funds.
  • Ability to create effective work relationships across functions & borders
  • Interpersonal skills in networking, influencing and decision taking
  • Can work independently to strict timeframes
  • Focused, organised and results-oriented
  • Experience of working with senior stakeholders. Ability to influence senior staff and offshore shared services teams and drive change agenda
  • Assertive, tenacious and willing to challenge when required


Apply now to join the Bank for those with big career ambitions.

To view information on our benefits including our flexible working please visit our career pages . We welcome conversations on flexible working.
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