JOB PURPOSE :
To design, implement and perform a new fit for purpose compliance related Control testing programme across Group Operations - Risk and Control and the development of an annual schedule of reviews.
The managerial position will lead a team of Compliance Assurance professionals.
The role requires analysis and challenge of complex activities in light of regulatory requirements and conduct and reputation risks.
KEY ACCOUNTABILITIES :
Job Specific Accountabilities
Assurance Monitoring and Testing
Design a new fit for purpose Risk and Control - FLOD, compliance related Control testing programme.
Risk and Control unit includes KYC review and approval unit and Transaction Monitoring and Review unit relating to Corporate, Investment, Commercial and Consumer Banking businesses.
Perform the approved assurance testing plan across the Risk and Control - FLOD business and identify key compliance related risks and issues.
Ensure assurance testing is performed in line with agreed milestones.
Track and monitor to completion all assurance testing issues.
Be strong willed to be able to provide the appropriate challenge to the business as required.
Being an independent control for Group Operations, Risk and Control - FLOD.
Manage relationships and establish proactive interactions with staff and senior management, promote internal control awareness and demonstrate Assurance and Monitoring's contribution.
Hold meetings with stakeholders to discuss and agree with review findings - highlighting the risks and actions to be taken to mitigate the risk.
Recommend improvements to processes and controls and help stakeholders develop a plan to address issues raised.
Professional / Technical
The role requires the analysis and challenge of complex activities in light of regulatory requirements.
Solid analytical skills including the ability to identify discrepancies whilst managing, reviewing and gathering data.
The ability to critically analyse data including the identification of trends, themes and outliers.
Must have excellent time management skills, the ability to work in a pressurised environment, to tight deadlines and still deliver a consistently high standard of work.
Follow up and provide technical support (if required) to the Risk and Control team to assist in the closure of Group Internal Audit / Regulatory / Group Compliance findings.
Issues management reporting (or escalation) to Head of Risk and Control - FLOD and Head of Group Operations.
Develop new fit for purpose business KRIs and MI reporting.
Ensure assurance testing results are recorded and appropriately reported to Head of Risk and Control - FLOD.
Writing high quality reports presenting review results and articulating the findings.
Managerial role and you will lead a team of Compliance Assurance professionals.
Management of the team by tracking against objectives and motivating staff to maximise performance.
Provide guidance, on the job training for staff and conduct knowledge sharing sessions.
Act as a role model to direct and indirect reports to drive adherence to organisational values and ethics and foster a value driven culture within the Bank.
Bachelor's Degree or Higher in Management, Banking or Finance, preferably with certification in compliance, corporate governance, risk management or internal audit.
At least 7 - 12 years+ banking experience preferably in a reputable international bank with experience of working in highly regulated jurisdictions.
At least 5-7 years of direct relevant experience in Internal Audit, Compliance Assurance Testing or EWRA activities aligned to the CIB business.
Internal Audit experience and Compliance Assurance background would be considered an asset.