Job Description

JOB SUMMARY
The Screening Quality Assurance Manager (Individual Contributor) is responsible for overseeing and executing end-to-end name and transaction QA screening activities to ensure compliance with applicable sanctions regulations and internal policies. This role plays a critical part in identifying and escalating potential sanctions hits, conducting in-depth investigations, and supporting enhancements to screening systems and procedures. The individual will also collaborate with key stakeholders to ensure timely and accurate disposition of alerts, provide subject matter expertise, and contribute to ongoing process improvements in the financial crime compliance space.
Key Responsibilities:

• Perform selection of name and transaction sampling of closed alerts/cases in accordance with the defined QA sampling methodology.
• Allocate samples to team members, ensured balanced distribution and timely completion of reviews.
• Conduct timely and accurate review and disposition of alerts generated by the name and transaction screening system.
• Perform detailed investigations on potential sanctions/AML/Internal matches, applying sound judgment and escalation protocols as required.
• Document alert investigations and outcomes clearly, maintaining a strong audit trail and supporting internal and external reviews.
• Serve as a subject matter expert in sanctions/AML screening, offering guidance on complex cases and policy interpretation.
• Consolidate individual testing files and perform a sanity check on the testing data.
• Publish QA testing results and prepare and share periodic testing summary with governance forums and other stake holders.
• Review perceived QA errors, providing subject matter expertise (SME) input for Quality Forum discussion and final disposition.

• Ensure adherence to global and local regulatory requirements, including OFAC, UN, EU, and other relevant sanctions regimes.
• Collaborate with Technology, Compliance, and Operations teams to test and enhance screening scenarios and rules.
• Identify trends, anomalies, or gaps in the name and transaction screening process and suggest improvements or mitigating controls.
• Participate in quality assurance reviews including thematic reviews, internal audits, and regulatory examinations related to name and transaction screening.
• Maintain up-to-date knowledge of sanctions laws, enforcement actions, and industry best practices.
• Oversee the OJT of new joiners including training the new joiners.

RESPONSIBILITIES
Strategy

• Awareness and understanding of FCSO's strategy appropriate to the role.

Business

• Awareness and understanding of the wider business, economic and market environment in which FCSO operates.

Processes

• FCSO Transaction Screening
• FCSO Name Screening

People & Talent

• 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.

Risk Management

• Escalate serious regulatory breaches, significant risks and issues arising from Quality Assurance activities (or where risk tolerances have been breached) through appropriate risk management mechanisms and forums.
• Ensure that actions are taken quickly to remediate and/or activities are ceased, and all risks are clearly documented.
• Work continually to enhance the control environment within the Quality Assurance function. Highlight key risk areas to Director, Quality Assurance Screening and risk teams, acting quickly and decisively when any risk and control weakness becomes apparent and ensure they are addressed within an appropriate timeframe and escalated through the relevant committees.
• Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management to be able to identify gaps through the Quality Assurance processes and reviews.
• Apply Group and FCC policies and processes (AML surveillance, client screening, risk assessment) to assess and mitigate risks.
• Engage with Regulators/ Monitors and Auditors as required providing timely and clear responses to any areas of observation or data requests.
• Plan and ensure a suitable level of readiness for Audit and Regulatory reviews.

Governance

• Instil good governance and tracking mechanisms within Quality Assurance including new joiner deployment (On the Job "OJT" templates), Supervisory checks.
• Propose control improvements, enhancements and simplifications where appropriate.
• Undertake specialist Quality Assurance reviews to test the validity and appropriateness of, and business compliance with, financial crime policies and procedures.
• Collate, analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and support in remediation actions within the FCSO function.
• Proactively engage with appropriate stakeholders across the Group and within FCSO to resolve problems/ challenges.
• Collaborate with Country FCC teams and FCSO Functions to ensure consistent application of standards.
• Track significant issues arising from Quality Assurance activities, Audit/ Assurance reviews and regulatory inspections, providing validation of issue closure where necessary and ensuring Management Action Plans are regularly updated.

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.
• Effectively and collaboratively identify, escalate, mitigate and resolve risk, conduct and compliance matters.

Key Stakeholders

• FCC Controls representatives in Group and Country
• Financial Crime Surveillance Operations ("FCSO") Functions - Name Screening, Transaction Screening, Transaction Monitoring, Trade AML and Fraud, Surveillance Academy and Service Delivery Management, Data and Reporting, Risk Managers, etc.
• Risk Framework Owners
• Group Process Owner and associated support functions
• Operational Risk
• Audit and Assurance

Other Responsibilities
Embed Here for good and Group's brand and values in Financial Crime Surveillance Operations, Quality Assurance, GBS India; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.
Qualification

• Education Bachelor's Degree
• Certifications ACAMS, ICA, CGSS (PREFFERED NOT MANDATORY)
• Languages English

Role Specific Technical Competencies

• Swift Message
• Compliance Policies and Standards
• Compliance Advisory
• Compliance Review and FCC Assurance
• Surveillance (including Screening and Monitoring)
• Investigations
• Compliance Risk Assessment

About Standard Chartered
We're an international bank, nimble enough to act, big enough for impact. For more than 170 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
• Are better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

What we offer
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 leave, parental/maternity (20 weeks), sabbatical (12 months maximum) and volunteering leave (3 days), along 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.

38047

Skills Required