工作内容
* The purpose of the role is to issue management and testing as subject matter expert in the areas of compliance risk, control, and testing. Responsibilities including evaluate the adequacy and effectiveness process and internal controls to obtain reasonable assurance of compliance
* Take lead in bank-wide issue management approach to ensure an effective framework and BAU process including but not limited to:
a) Track all audits, tests, regulatory test/exams to ensure entries are made in time
b) Perform review and challenge, as necessary, escalations, impact assessments, action plan viability, action plan modifications, and issue closure validation
c) Co-ordinate with regional as well as local compliance teams; arrange and conduct meetings with Stakeholders,Mgmt
d) Validate actions taken by control/risk owners to ensure a concrete remediation for issue identified.
e) Training, Procedure maintenance, regular support in managing issues etc.
* Take Lead in bank - wide testing program to ensure in-scope units operating effectiveness in line with international compliance risk themes as well local regulatory focused areas.
a) Developing and executing an annual risk-based compliance testing plan that establishes the testing focus and schedule of testing activities for the given year
b) Performance of an annual plan refresh exercise on a periodic basis
c) Designing, planning, and executing testing reviews
d) Reporting the results of testing reviews to the appropriate programme and process owners and stakeholders
e) Regular communication surveillance against in-scope units under specific compliance theme (e.g. MNPI/CoI ect.)
* Perform regular review and challenge, as necessary, units compliance risk assessment result on the basis of a thorough and comprehensive understanding of units, provide inputs into risk discussion; liaise with planning teams to oversee the risk assessment process
* Work effectively as part of a team to deliver value added result and understand how the role integrates and contributes to the wider engagement.
* Response to inquiries from stakeholders, provide oversight, advice, guidance in the above area