Dubai Education Guide
Dubai Education Guide
Manager, FCC Controls    

  • Negotiable
  • Standard Chartered Bank
  • Compliance/Legal | Compliance Regulatory
  • Dubai
  • United Arab Emirates
  • 23/03/2018
  • Analyse the implementation of the FCC strategy in country by escalating appropriate FCC and AML issues including identifying issues of regulatory impact.
  • Support relevant stakeholders to make decisions based on current and possible future policies, practices, and trends.
  • Keep track of and provide advice to relevant stakeholders on the interpretation and application of regulatory expectations, laws, best practices and policies related to FCC.
  • Develop, keep up-to-date with the changes in external and internal regulations including appropriate policies/processes/DOIs to address financial crime risks and aligning with relevant regulatory requirements.
  • Ensure Operational Risk Controls are deployed effectively and efficiently across incoming work and post SAR actions.
  • Providing governance and oversight over the implementation of FCC-related policies and procedures in the UAE to ensure compliance with such policies and procedures. Ensure that Triage and post SAR processes are completed in line with best practice and Group guidance.
  • Provide advice to relevant stakeholders (including escalation to line managers and senior leadership) on compliance with Group standards relating to AML.
  • Day to day management and oversight of all incoming manual work into FCC UAE and the oversight of all SAR and post SAR activity including exits, list additions and intelligence exchange.
  • Ensure that all activities within the team are completed within the legal and regulatory frameworks in the UAE.
  • Initial review of the complexity, risk rating of cases and identifying any fast track/high risk issues before allocation to analysts for all incoming work
  • Develop strong workin relationships with Business segments to increase the quality of referrals into FCC UAE. Provide good quality feedback and support to Central Bank Feedback requests on SARs. Engage effectively with the Business segments to secure timely and fit for purpose feedback.

  • Day to day management of Triage Team and post SAR team. Responsibility for deploying management processes and oversight of all incoming manual AML work and post investigation action.
  • Ensure the suitability and quality of case data maintained on enterprise case management systems and internal logs (Investigation tracker, Watch Lists, SAR log and LCM log as appropriate).
  • Understand technical aspects of systems relevant to CDD, Client Risk Assessments, Name and Transaction Screening, AML Monitoring and Case Management. Ensure post SAR actions are taken in a timely manner in line with Group policy and procedure.
  • Review and assess existing system and controls relevant to FCC to ascertain operational performance and effectiveness, ensuring any compliance gaps in existing controls or systems are identified and escalated.
  • Apply Group and FCC policies and processes (AML surveillance, ACT, client screening, risk assessment) to manage risks and initiate timely post investiation action.
  • Make recommendations and work to implement possible risk management responses to identified risks and/or findings of concerns from investigations - including following up on CMLCO decisions and tracking outcomes and the quality of investigations work.
  • Assess risks arising from products / segments / geographies / customers / transactions.
  • Identify and escalate any potential risks AML/ and other financial crime risks to the relevant stakeholders
  • Conduct a root cause analysis on the control/other failures to ensure lessons are learned across the FCC UAE Compliance team.


  • Propose control improvements, enhancements and simplifications where appropriate.
  • Support all control checks undertaken by FCC under the Operational Risk Framework (ORF) and drive remediation action within the FCC function where appropriate. Ensure the Controls are effectively deployed and evidence meets the required criteria.
  • Analyse and interpret data to produce reports that help the bank identify and manage emerging areas of risk / vulnerability and support in the remediation action within the FCC function.

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