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- Ensure comply with external and internal regulations and polices.
- Awareness of all the policies and procedures issued in relation to Anti Money Laundering Prevention. Ensure to report any suspicious case to the Line Manager &/or Fraud Control.
- Perform CDD review with \a full range of banking products which includes cash management, trade, treasure, investment, insurance & loan etc. by reaching the client directly to obtain and verify required CDD information and update documents. (If applicable)
- Ensure to follow the operating instructions/procedures with emphasis on risk and controls (decision control points, process failure points, escalation triggers) and all are fit for purpose.
- Ensure the CDD process is conducted in compliance with regulatory requirement and related procedures/ guidance notes/ policies adherence to CDD procedures.
- Ensure CDD documents fulfil AML/CDD Procedures and local requirements for proper AML/CDD control. All work must be completed in strict adherence to operating manuals without deviations.
- Ensure that control procedures outlined in various BOCs or Procedure Manuals are fully implemented and ensure staff comply with same requirements in the laid down procedures or Manual relevant to your job responsibilities.
- 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.
- Lead to achieve the outcomes set out in the Bank's Conduct Principles
- Embed Here for good and Group's brand and values, Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures; Multiple functions (double hats)
- Education - University/college graduate
- Languages - Good command of spoken and written English, Mandarin preferable
- Retail Banking operations experience
- AML/CDD knowledge and experience
- Written & Spoken English
Analyst, Due Diligence Management - Hong Kong, 香港 - Standard Chartered Bank
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RESPONSIBILITIES
Regulatory & Business Conduct
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