Investigator Hong Kong, Group Investigations

JOB SUMMARY
•    Conduct investigations into concerns allegations or risk events involving criminal conduct, dishonesty or deliberate breaches of policies or regulations.
•    Ensure investigations align with relevant laws, regulations, and Group standards, including escalation, case management, data capture, evidence management, electronic evidence review, reporting, interviewing, and attending internal disciplinary panels.
•    Prioritize multiple investigations, tasks, projects, and responsibilities while maintaining positive stakeholder relationships.
•    Keep relevant stakeholders and appropriate senior management informed of relevant investigative developments.
•    Assist in regulatory and government investigations, including data source identification and extraction.
•    Develop and disseminate data analytics, providing relevant management information to stakeholders.
•    Maintain relationships with law enforcement and coordinate the provision of responses to search warrants, local production orders, court orders, and attend Court as required.

RESPONSIBILITIES

Strategy
•    Responsibility for leading and managing investigations for the Bank in SC Hong Kong and within the Asia region as required, including responsibility for operational risk management and investigation delivery.
•    Ensuring effective investigation strategies to manage legal and regulatory issues that may have a significant impact to the Bank and regionally and keeping abreast of changes within the Group and region.

Business
•    Provide reports and other Management Information in agreed and standardised format.

Processes
•    Conduct and manage investigations against the Bank and/or with employees that have potential material impact on the Bank from either a reputational, regulatory, financial or litigation perspective (or any combination of the same)

People & Talent
•    Establish, develop and maintain close collaboration with key internal functional stakeholders including Legal, CFCR, ER and HR, to fully embed the Group Investigations framework including the formalisation of policies, procedures, processes and controls.
•    Adopt a flexible approach in supporting other areas within the Group Investigations structure (and in seeking inbound support when necessary) to promote effective and efficient allocation of investigative resources.
Risk Management
•    Conduct risk assessments on concerns and allegations through the lifecycle of an investigation, comply with mandatory escalation requirements and recommend appropriate actions to mitigate risk or minimise financial losses.
•    Maintain close interaction with those Risk Owners to whom responsibility is delegated to ensure resolution of system and control improvements identified through the Group Investigations process.
•    Ensure regional senior management are fully informed of all key risks and issues in area of responsibility and reported in line with Bank’s operational risk process.

Governance
•    Reinforce an effective and exemplary risk and control culture and further strengthen the control environment. 
•    Act to minimise operational loss and audit failures and take proactive measures to respond to matters arising.  

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

•    Business and function representatives 
•    HR 
•    Compliance 
•    Legal 
•    Financial Crime Compliance
•    Audit
•    Risk

Other Responsibilities
•    Embed Here for good and Group’s brand and values in Group Investigations; Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures.

Qualifications

•    Education     Bachelor’s degree in relevant field, such as Legal, Business, Finance, or Accountancy.
•    Training     6 years of experience in investigation, compliance, intelligence, consulting, audit, or the supervision and examination of financial institutions.
•    Certifications     Certified Fraud Examiner accreditation or similar is desirable
•    Languages     Business proficient written and spoken English and Cantonese 

Role Specific Technical Competencies

•    Manage Conduct
•    Manage Risk
•    Business Partnering