Investigator Financial Crime Investigative Reporting
3 months ago
-Job description
Opening up a world of opportunity.
We're a financial services organization serving more than 39 million customers across the globe through our Wealth & Personal Banking, Commercial Banking and Global Banking & Markets businesses.
We’re here to use our unique expertise, capabilities, breadth and perspectives to open up a world of new opportunities for our customers, our people and our communities.
About HSBC Compliance
Compliance is a global function that brings together all aspects of regulatory and financial crime risk management. Acting as risk stewards, and incorporating a range of specialist teams, we work together with the business and leverage advanced technology to help HSBC navigate a complex regulatory landscape and embed a sustainable approach to compliance risk management that supports safe growth and serves customers fairly. Compliance aspires to continuously raise the bar and set leading standards across the industry to help HSBC safeguard its customers and the communities within which it operates
About the role
The Financial Crime - Investigator Financial Crime (FC) Investigative Reporting is accountable to follow approved, documented procedures and processes to analyze information escalated by L2 Financial Crime (FC) Operations from the automated transaction monitoring system, Name Screening. Client Selection Exit Management (CSEM) Reviews as well as referrals / escalations from Fraud Operations, and Unusual Activity Reports (UARs) excluding network related cases, referrals from Major Investigations, or specific referrals related to public private parternship projects. This includes identifying names/entities/transactions that may relate to money laundering or terrorist financing and producing a high quality case file including a comprehensive narrative and recommendation as to whether or not to file a suspicious transaction report with FINTRAC as required by anti-money laundering regulations in Canada.
Responsible for conducting investigations within these case categories which may emanate from multiple products
**Responsibilities**:
- Investigate and process cases to agreed procedural standards required and within agreed service levels.
- Produce a high quality case file including a comprehensive narrative articulationg reasonable grounds to suspect and recommendation as to whether or not a Suspicious Transaction Report (STR) is required.
- Maintain records, update case histories in the case management system and liaise with stakeholders and other regions
- Deal with enquiries from colleagues from Line of Business (LoB) in a professional, responsive manner, giving them appropriate guidance, referring to management where necessary.
- Deliver fair outcomes for our customers and ensure own conduct maintains the orderly and transparent operation of financial markets.
- Provide feedback to referring partners in Financial Crime (FC) Operations, Fraud Operations, Name Screening and others with whom we engage and collaboratively provide opportunities to streamline and enhance content and workflow
- Work effectively and professionally with colleagues across the organization and in particular peer investigative units i.e. Manager’s, Triage, Major Investigations, and other stakeholders: Client Selection Exit Management (CSEM), Regulatory Compliance (RC), Fraud Operations and Financial Crime (FC) Operations.
- Participates as part of an effective team that supports diversity and reflects the HSBC brand, thereby delivering high employee engagement and motivation.
- Promote an environment that supports diversity and reflects the HSBC brand.
- Document all information found throughout the investigation, developing and maintaining case files to ensure clear rationale for decisions made with appropriate documentation.
- Ensure performance meets the requirements of any relevant service level agreements and at all times, adheres to Group and Regulatory policies.
- Generate ideas to improve team efficiency.
- Identify and report all significant regulatory compliance breaches or gaps; and make recommendations where appropriate to enhance or clarify procedures.
- To discharge the accountabilities set out in the Global Investigations Instructions by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification, fostering a compliance culture and optimizing relations with regulators.
- Maintain knowledge of applicable money laundering (ML), terrorist financing (TF), sanctions and reputational risks, adapting to new guidelines as they evolve.
- Complete other responsibilities, as assigned.
Requirements
- Experience or exposure to analysis of financial activity, or due diligence.
- Basic knowledge of proceeds of crime legislation, associated AML regulation and guidance and STR filing processes
- Good working knowledge of AML within the financial services industry.
- Experience in the financial services industry.
- Knowledge of
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