Senior Manager, Surveillance Analytics

Senior Manager, Surveillance Analytics

Standard Chartered
Not Specified
Not Specified

Job Description

Role Responsibilities

Summarise all responsibilities and accountabilities. Clarify if the role holder is an individual contributor or leads or supports others provide a breakdown by functional area if relevant as a minimum, the following areas should be covered]
Please also specify the Prescribed Responsibilities delegated to this role.

  • Support Head of Controls input to Group/Region/Country/Client Business operating model design of relevant FCC and business processes.

  • Ensure that there is adequate support (people, processes, tools, frameworks, systems) in the Country for necessary FCC Surveillance Analytics.

  • Set and implement the vision, strategy, direction and leadership for the country FCC Surveillance Analytics team, consistent with the vision and strategy for FCC and in support of the Group&rsquos strategic direction and growth aspirations.


  • Analyse comprehensive impact of financial crime related regulatory matters on the relevants business area and its operations.

  • Ensure that key changes (to laws, rules, regulations) are communicated and cascaded (in region/country), in coordination with group communications.

  • Support relevant stakeholders to make decisions based on current and possible future policies, 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 FCC.

  • Support resolution of competing requirements between regulations, for example between AML regulations and data privacy/bank secrecy or information security regulations.


  • Assist Head of Controls to develop, keep up to date and recommend for approval by the relevant Risk Committee, appropriate policies/processes/DOIs to address financial crime risks, aligning with relevant regulatory requirements.

  • Assist Head of Controls to providing governance and oversight over the implementation of FCC-related policies and procedures in [Globa/Region/Country/Business] to ensure compliance with such policies and procedures.

  • Provide advice to relevant stakeholders on compliance with Group standards relating to AML surveillance and regulation reporting.

People and Talent

  • Provide leadership, management and coaching to direct reports to ensure they are highly engaged and performing to their potential.

  • 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.

  • Collaborate with training teams to input to training curriculum to support closing of capability gaps.

  • Ensure Transaction Monitoring & Screening team is adequately resourced and staffed by an appropriate number of competent staff sufficiently independent to perform duties objectively, to support sustainable business growth and address financial crime risks.

  • Ensure staff in Transaction Monitoring and Screening team have clearly articulated and well understood roles and responsibilities through meaningful and accurate job descriptions.

Risk Management

  • Maintain oversight of risk mitigating action plans.

  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring, List Management and Case Management.

  • Assist Head of Controls to ensure the detection scenarios that are developed and deployed are fit-for-purpose.

  • Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to manage risks.

  • Assist Head of Controls to 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.

  • Assist Head of Controls to anticipate horizon risks in the area of financial crime that may have a significant impact on the Group and develop effective strategies to mitigate such horizon risks.

  • Advise relevant stakeholders on outcomes of AML risks identification and assessment methodologies.

  • Assist Head of Controls to manage the component risk models (Client, Country, Industry, Channels).

  • Assist Head of Controls to define the applicable control standards under the FCC Global Risk Assessment and ORF.


  • Attend relevant leadership meetings.

  • Support Head of Controls oversight of Transaction Monitoring and Screening team.

  • Support Head of Controls to ensure tracking and remediation of surveillance and investigations related regulatory findings.

  • 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.

  • Propose control improvements, enhancements and simplifications where appropriate.

  • Support all control checks undertaken by FCC under the Operational Risk Framework (ORF).

  • Collate, analyse and interpret data in reports to senior management and relevant governance/risk committees.

  • Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and thus drive remediation action within the FCC function.

Project/Change Management

  • Review new business requirements and provide solution where required.

  • Review new local regulator requirements and provide solution where required.

  • Assisit Head of Controls to manage and protect busniess as usual (BAU) capability during change programmes, as well as during the execution and delivery of the Remidiation initiatives through project phase and into BAU.

Regulatory & Business conduct

  • Display exemplary conduct and live by the Group&rsquos 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

  • PBOC AML centre

  • GBS FCSU Team

  • ITO (Tech & Operation)

  • Retail Branch

  • TB / Retail Product

Other Responsibilities

  • Embed &ldquohere for good and Group&rsquos brand and values in China FCC Surveillance Analytics team.

  • Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

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.
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Job Details

We are a leading international banking group, with a presence in more than 60 of the world’s most dynamic markets. Our purpose is to drive commerce and prosperity through our unique diversity, and our heritage and values are expressed in our brand promise, Here for good.
Standard Chartered PLC is listed on the London and Hong Kong Stock Exchanges.

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