Senior Manager - Compliance Investigations

Job description / Role

Job Description
1. To manage the conduct of appropriate investigations in order to minimise financial losses, reputational and regulatory risks, operational risk events involving criminal conduct, dishonesty or deliberate breaches of policies or regulations.
2. To help and promote, lead and manage, throughout the Business, the culture and practice of risk management within the letter and spirit of relevant Laws and Regulations and all Group standards relating to FCR.

Key Roles & Responsibilities
1. Advanced investigation capabilities. Conduct significant investigations and as required to conduct major investigations as directed by Global investigations. Conduct investigations in line with the Group standards for investigations in the country / region including escalation, case management, data capture, evidence management, electronic evidence review, reporting, interviewing and attending before internal disciplinary panels as required.
2. Support Country Head of FCR in management and promotion of Speaking Up in country with assistance from Regional investigative team. Speaking Up cases received directly in country must be updated in Enterprise Investigation Management System (EIM).
3. Act as Head, Compliance Investigations (Region) as required.
4. Provide senior management support to investigative function in the region.
5. Stakeholder management to ensure appropriate senior management are kept informed of relevant investigative developments.
6. As required Investigate data leakage cases and with Group Information Security assist in promoting awareness of the importance of confidentiality of bank information.
7. Relationship management of other investigative units within the bank to ensure that effective and efficient use of investigative resources.
8. Relationship Management with law enforcement. Attending court cases where required. Coordination of business to provide a response to local production orders, court orders, request for information from regulators or law enforcement agencies.
9. Monitor developments in financial crime and misconduct including internal trends.
10. As required, co-ordinate with GIA regarding investigation related audit findings to ensure adequate oversight and tracking of remediation.
11. Co-ordination with Country Compliance to ensure adequate oversight and tracking of remediation of investigations related Regulatory findings.
12. Maintain relationships with FCC Operations vendors in the region so that external specialist support is available when required.
13. Provide investigation related information to appropriate Country / Regional Committees and attend as required.
14. As required, assist Country Head of FCC in management of Anti-Bribery activities in country.
15. As required assist in responding to a search warrant, subpoena or documentary production order relating to an employee being served on the Bank.

Senior Manager of Investigations will have the assigned authority under Group procedures to request and assist the business / functions to take action in support of an investigation, including in relation to:
- establishing terms of reference for the enquiry;
- securing and preserving evidence;
- requiring staff to attend interviews;
- requiring appropriate action in relation to staff (e.g. suspension during the investigation);
- engaging internal resources to work on the investigation;
- defining communication protocols for the investigation.

- Advanced understanding of investigative techniques.
- Principal statutes/regulations affecting the Bank: Proceeds of Crime Act, Serious Organised Crime and Police Act, Terrorism Act, Counter Terrorism Act, Bribery Act 2010, Money Laundering Regulations 2007, JMLSG Guidance Notes, FSA handbook. SCBs internal policies and procedures on AML, Investigations, Sanctions and Fraud.

Requirements

Required
- 6+ years investigative experience.
- Excellent communication skills.
- Tertiary education or relevant industry experience.
- Previous regulatory experience or financial services industry and Financial Crime management experience.
- Ability to manage staff.
- English language and writing skills.
- Good knowledge of banking systems.
- Good working knowledge of MS Office suite particularly Word, Excel and PowerPoint.
- Knowledge of information sources and evidence handling specifically with reference to electronic evidence.
- Excellent judgement. Excellent collaborative and team playing skills. Diplomacy, empathy and a can-do attitude. Politeness, sensitivity and the ability to gently, but professionally stand your ground when needed.
- An inquisitive approach to practices, procedures and specific transactions. Personal authority and integrity. Independence, creativity, resourcefulness and resilience.
- Must possess ability to assess risk, strong leadership qualities, excellent interpersonal skills and multi cultural awareness and sensitivity.
- Ability to write investigation reports on complex issues.

Desirable
- Degree in law, accounting or similar.
- CFE or like accreditation
- Foreign Language skills applicable to region
- Understanding of the key features of relevant laws and regulations that affect the Group.

Diversity & Inclusion
Standard Chartered is committed to diversity and inclusion. We believe that a work environment which embraces diversity will enable us to get the best out of the broadest spectrum of people to sustain strong business performance and competitive advantage. By building an inclusive culture, each employee can develop a sense of belonging, and have the opportunity to maximise their personal potential.

About the Company

Standard Chartered Bank started in 1958 in UAE with its first branch in Sharjah. The Group’s business gradually increased in Dubai with the opening of several branches and today, Dubai is the administrative hub of the Middle East and South Asia Region. In its 43rd year, the Bank enjoys the position of having the most extensive branch network among foreign international banks in UAE with 10 branches emirate-wide.

Standard Chartered is an international bank, focused on the established and emerging markets of Asia, Africa, the Middle East and Latin America with an extensive global network of more than 600 offices in over 50 countries. The three principal business groups are Global Markets, Personal Banking and Corporate and Institutional Banking.

In UAE, we are one of the leading banks, offering an extensive range of products and services for personal customers, local companies, multinational corporate and financial institutions.