Investigator, Shared Investigative Services, Vietnam

• To manage the conduct of appropriate investigations in order to minimise financial losses, reputational 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 Shared Investigative Services risk management within the letter and spirit of relevant Laws and Regulations and all Group standards relating to Compliance.
• Investigation capabilities. Conduct and assist as directed investigations within ASIA, other than those undertaken by group team. Ensure the investigations are in line with the Group standards for investigations in the country / ASIA including escalation, case management, data capture, evidence management, electronic evidence review, reporting, interviewing and attending before internal disciplinary panels as required.
• Sound stakeholder management to ensure appropriate senior management are kept informed of relevant investigative developments.
• As directed, oversee and as required investigate data leakage cases.
• Support eDiscovery and Data Advisory (“eDDA”) requests as required, including ensuring trained resources in ASIA are available to support eDDA as directed.
• Support SIS management in conducting further inquiries and as necessary investigations of cases as directed as part of the SIS proactive investigative developments.
• As directed, source, assess and escalate relevant intelligence relating to potential risks to the Bank and progress intelligence gathering and inter-regional/Group SIS cooperation and intelligence sharing as required.
• Support Regulatory & Government Investigations as required, including assisting in data source identification and extraction.
• Support data analytics development and dissemination as required, including ensuring relevant management information is provided to stakeholders.
• Sound relationship management of other investigative units within the bank to ensure the effective and efficient use of investigative resources.
• Sound 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 and ensure regional team is aware of the same.
• As directed, assist in the co-ordination with Group Internal Audit, 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 ASIA so that external specialist support is available when required.
• As directed, provide investigation related information to appropriate Country / Regional Committees and attend as required.
• As required, and in consultation with Country FCC and/or Compliance, manage 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.

• Awareness and understanding of the Group’s and function’s business strategy and model
• Ensuring effective investigation strategies to manage legal and regulatory issues that may have a significant impact in SC Vietnam and regionally and keeping abreast of changes within the Group and region.
• Provide input and oversight of the development of end-to-end scalable infrastructure and processes to execute Investigation processes. This includes establishing and maintaining training, advice and support, to assure the process policies and standards are effectively implemented across SC Vietnam and regionally.
• 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.
• Utilise external and internal networks to build strong liaison across the Group.

• Awareness and understanding of the wider business, economic and market environment in which the Group operates
• Responsibility for leading and managing investigations for the Bank in SC Vietnam and within ASIA region as required, including responsibility for operational risk management and investigation delivery.
• Support management and promote Speaking Up in country with assistance from Regional SIS team.
• Provide reports and other Management Information in agreed and standardised format
• Coordinate identification of themes, trends and lessons learnt from investigations in SC Vietnam and regionally to support the continuous improvement of the Bank’s conduct and control environment.

• Responsible for executing investigations in accordance with internal Standards and fulfilling responsibilities as outlined in the relevant Standards per the Operational Risk Framework definition of first / second line.

• Establish, develop and maintain close collaboration with key internal functional stakeholders including Legal, CFCC, ER and HR, to fully embed the Group Investigations framework including the formalisation of policies, procedures, processes and controls.

• Responsible for identifying, assessing, monitoring, controlling and mitigating risks to the Group, as well as having an awareness and understanding of the main risks facing the Group and the role in managing them.
• Maintain close interaction with Risk Owners to whom responsibility is delegated to ensure resolution of system and control improvements identified in the investigation.
• 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.
• Through relevant Operational Risk Committees and formal assignment of responsibility, establish and maintain an appropriate framework and procedures for identifying, monitoring, measuring, assessing, reporting and managing embedded end-to-end process risks related to Investigations.

• Responsible for assessing the effectiveness of investigations to support effective governance, oversight and controls in the Business and our clients
• Maintain awareness and understanding of the relevant regulatory frameworks, requirements, and expectations.
• Reinforce an effective and exemplary risk and control culture to support control environments
• Act to minimise operational loss and audit failures and take proactive measures to respond to matters arising.

• 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.

• Business and function heads (in SC Vietnam, ASEAN, ASIA and/or Group)
• Human Resources, Employee Relations,
• Employment Legal, Country Legal, Business Legal
• Conduct and Financial Crime Compliance
• Group Internal Audit
• Risk Management

• Embed Here for good and Group’s brand and values in SC Vietnam / SC Asia / Group Business
• Perform other responsibilities assigned under Group, Country, Business or Functional policies and procedures

• Bachelor’s degree in relevant field, such as Legal, Business, Finance, or Accountancy.

• Minimum 6 years substantive background in enforcement actions, investigations or prosecutorial and regulatory agency environment, with local expertise within Vietnam primarily and other ASIA markets.
• Sharp business acumen with experience of investigations in white collar corporate environment and/or experience advising or managing complex investigations and related risks representing financial institutions.
• Demonstrated ability to conduct best practice investigations with a high level of integrity, independence, resilience, professionalism and discretion.
• Understanding of the key features of relevant laws and regulations relevant to Bank and the role of Investigations.
• Knowledge and sound judgement of business practices, regulatory relationship management and reputational risk.

• Certified Fraud Examiner accreditation or similar.

• Proficient in Vietnamese and English.

• Business Acumen
• Employment Law
• Regulatory Framework and Requirements
• Products and Processes

• 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
• Be better together, we can be ourselves, be inclusive, see more good in others, and work collectively to build for the long term

• Core bank funding for retirement savings, medical and life insurance, with flexible and voluntary benefits available in some locations
• Time-off including annual, parental/maternity (20 weeks), sabbatical (12 weeks 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.
• Recruitment assessments - some of our roles use assessments to help us understand how suitable you are for the role you've applied to. If you are invited to take an assessment, this is great news. It means your application has progressed to an important stage of our recruitment process.

Standard Chartered