Senior Investigator at Standard Chartered Bank

Purpose

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

Responsibilities

• Well developed investigation capabilities. Conduct investigations and provide assistance as required to Group Compliance 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.
• Support senior management of Compliance Investigations in the management and promotion of Speaking Up in country with assistance from the Regional Compliance Investigations teams.  Speaking Up cases received directly in country must be updated in Enterprise Investigation Management System (“EIM”).
• Stakeholder management to ensure appropriate senior management are kept informed of relevant investigative developments.
• As required, investigate data leakage cases, and with Group Information Security assist in promoting awareness of the importance of confidentiality of bank information.
• Relationship management of other investigative units within the bank to ensure the effective and efficient use of investigative resources.
• 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.
• Monitor developments in financial crime and misconduct including internal trends.
• As required, co-ordinate with GIA, Business and Operational Risk regarding investigation related findings to ensure adequate oversight and tracking of remediation.
• Co-ordination with Country Compliance to ensure adequate oversight and tracking of remediation of investigations related regulatory findings.
• Maintain relationships with relevant vendors in the region so that external specialist support is available when required.
• Provide investigation related information to appropriate Country / Regional Committees and attend as required.
• As required, assist Country FCC and/or Compliance in the management of Anti-Bribery investigations in country.
• As required assist in responding to a search warrant, subpoena or documentary production order relating to an employee being served on the Bank.
• Conduct training to Staff on Speaking Up, DLP and other related investigative matters as required.

Dimensions:

• 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 inquiry;
  • 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. SCB’s internal policies and procedures on AML, Investigations, Sanctions and Fraud.
• All other relevant local dimensions [Countries need to be specific about their local regulations here].

Knowledge Skills and Experience
Required:

• 4+ years investigative experience.
• Excellent communication skills.
• Degree in law, accounting or similar.
• Previous regulatory experience or financial services industry and financial crime management experience.
• 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.

Desirable:

• CFE or like accreditation
• Foreign Language skills applicable to region
• Understanding of the key features of relevant financial crime and investigative related laws and regulations that affect the Group.